Following a conviction last year, Keith Todd Ashley was sentenced this week to life in prison in a fraud scheme that ended in his client's murder.
New SEC rules offer an opportunity for advisors and their clients to reassess their strategies around liquid cash.
The CTA broadens reporting to U.S. authorities of information—and personal identification documentation—concerning beneficial ownership of nearly all U.S. companies as well as foreign companies doing business in America.
The adopted amendments released last week will cut down on alleged abuses in the expungement process, according to a former president of the Public Investors Advocate Bar Association.
The SEC had until Aug. 13 to say whether it would approve, reject or delay on coming to a decision.
Utah-based Alpine Securities is challenging the constitutionality of FINRA. Given recent judicial decisions from more conservative courts, some legal scholars think it may succeed.
New York’s top law enforcement office is looking into “brokerage execution quality” at Robinhood.
In all, the CFTC announced penalties of $260 million, while the SEC said that firms had agreed to pay it $289 million.
A spot-Bitcoin ETF does not currently exist in the US and regulators have, in the past, been loath to approve one.
