Regulation

The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.

Crypto insiders expect the SEC to announce several key decisions on Jan. 10, which could determine the future of the proposed spot-backed ETF.

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

Without inflation adjustments to income and net worth criteria, the number of people who qualify to put their money into sophisticated and risky investments has skyrocketed.

Only 68 tipsters received money in 2023, down from 100 in the previous year.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

New requirement calls on firms to report hacks within four days of deciding that the attacks are of material interest to shareholders.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.

Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.