It has been nearly five years since the US Securities and Exchange Commission (‘SEC’ or ‘the Commission’) adopted Regulation Best Interest (Reg BI) ...
On October 21, 2024, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its ...
Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...
The proposal to enhance transparency and guardrails for new technologies within broker-dealers is likely to be scrapped. However, compliance costs for major brokers are expected to rise, according to ...
The SEC announced an initiative Tuesday to create a regulatory framework for digital assets with a new internal task force ...
Should artists have to file paperwork with the Securities and Exchange Commission (SEC) just to sell their own creations? Should they be required to warn buyers that art values might fluctuate?
to reduce spending and regulation. The close alliance between Musk and Trump has raised questions about potential conflicts of interest regarding Musk’s business empire. The five-member SEC ...
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