A Michigan-based crypto firm wasn’t listed as a broker/dealer, in violation of securities regulations, said the SEC.

The SEC claims the independent broker/dealer failed to supervise reps who sold retail investors a leveraged oil ETN that was designed for traders; FINRA fined the firm for inadequate supervision of annuity sales.

The industry regulator’s complaint accuses a broker of securities fraud connected to his cryptocurrency “HempCoin.”

The SEC charged biotech billionaire Phillip Frost in a market manipulation scheme involving two microcap companies.

To act in the best interest of your clients you need to have a clear understanding of their overall financial picture and their financial behavior.

Although the fiduciary rule is dead, its spirit and intent will live on.

SEC Chairman Jay Clayton is holding roundtable discussions regarding the agency’s best interest proposal.

President Trump advocates for a six-month corporate reporting system.

SIFMA President and CEO Ken Bentsen said he largely approves of the SEC’s Regulation BI.

The IRS’s proposed regulations will make clear that it considers a planning technique known as “crack and pack” to be abusive.