Regulation

With a deadline looming for the SEC to decide on one of the ether spot ETFs, signs suggest the regulator may be softening.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

The Securities and Exchange Commission, having already approved spot bitcoin ETFs, ought to follow through and grant the same approval to spot ethereum funds. Doing so would create a new surge of investment, with positive economic impacts.

Officials from FINRA and SEC spoke on how they are examining AI and emerging technology while also raising new risk concerns like deepfakes, which could make voice recognition software obsolete.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

The SEC's guidance is a part of a much broader movement as the U.S. strives to catch up with Europe.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.

The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.

The ban comes after the Wall Street regulator's imposition of nearly $3 billion on fines for failing to track and record communications sent on messaging apps.