The seven advisors collectively had about $1.2 billion in managed assets, according to the Wells Fargo Advisors' suit against former in-house counsel Steven Satter, who joined his colleagues at the independent firm.

NASAA's annual enforcement report charted the continued problem of promissory note fraud, and the rise of interest in the metaverse in the securities markets.

About 15 million clients’ details were compromised over a five-year period starting 2015.

In a newly released risk alert, the commission’s Division of Examinations highlighted potential areas of focus for the rule, which has a Nov. 4 compliance date.

Making the Federal Reserve the “dealer of last resort” would help ensure smooth trading during times of extreme stress.

Shawn Everett Good faces up to 30 years in prison after pleading guilty to charges of wire fraud and money laundering, according to the Department of Justice.

For weeks, federal regulators have been been peppering Goldman management with questions and follow-ups regarding its online-banking platform aimed at retail customers.

SEC Chairman Gary Gensler discussed his views on cryptocurrencies, agency resources and the commission’s proposed rule for climate risk disclosures for issuers during testimony before the Senate Banking Committee.

The commission charged Marc Frankel with using stolen funds for personal expenses, including basketball tickets, tuition and travel.

Speakers at the Future Proof wealth festival on how compliance can move a cost of doing business to a valuable business function to be marketed—and monetized.