The U.S. Securities and Exchange Commission (SEC) has launched a ‘Crypto Task Force’ page on its website, outlining the agency’s crypto regulatory agenda under the agency’s new leadership. This ...

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from January 2025.

Both brokerage firms moved a customer’s uninvested cash from a brokerage account into an interest-bearing account, violating ...

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack ...

With a new president in the White House and a new chairman incoming, the US Securities and Exchange Commission is on the cusp ...

Key issues to consider before entering into a settlement with a securities regulator, including the scope of the regulators’ ...

The Financial Industry Regulatory Authority (Finra) has released an extensive list of the ways registered representatives and their firms are violating Regulation Best Interest—the retail securities ...

"We request SEC and DoL take decisive action to uphold fiduciary duty laws," 22 state financial officers demanded in a letter ...

Following a similar effort by the Canadian Investment Regulatory Organization (CIRO) last year, the Canadian Securities Administrators (CSA) is proposing changes to its trading rules that would keep ...

According to the SEC announcement, the panel's task will be to develop a clear set of rules while also addressing issues regarding registration of coins. "We look forward to working hand-in-hand ...