bankingdive7d
Wells Fargo, Merrill Lynch, LPL settle SEC charges
Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...
Financial Planning11d
Wells Fargo, Merrill settle SEC 'sweeps' probe for $60M
Regulators took the wirehouses to task for not having policies directing advisors to consider clients' best interests.
SEC launches crypto task force to create regulatory clarity
The SEC announced an initiative Tuesday to create a regulatory framework for digital assets with a new internal task force ...
SEC’s broker-dealer regulation for AI will probably be scrapped
The proposal to enhance transparency and guardrails for new technologies within broker-dealers is likely to be scrapped.
Wells Fargo firms, Merrill Lynch to pay $60 million to settle SEC charges
Merrill Lynch and two Wells Fargo advisory firms have agreed to pay a combined $60 million in civil penalties to settle U.S.
Yahoo Finance6d
SEC Forms Task Force To Develop Clear Regulations for $3.7 Trillion Cryptocurrency Market
The SEC’s announcement acknowledged past confusion about regulations and promised a more straightforward approach to foster innovation while protecting investors. Bitcoin’s price surged by 2.4 ...
Wells Fargo firms, Merrill Lynch to pay $60 mln to settle SEC charges
The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...