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

Offering subscription-based services can bring in additional revenue, but advisors must also keep state and federal ...

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 ...

It has been nearly five years since the US Securities and Exchange Commission (‘SEC’ or ‘the Commission’) adopted Regulation Best Interest (Reg BI) ...

High-interest savings accounts are finally starting to live up to their name With the money market showing some life, now could be a good time to revisit this long-time savings favourite and see which ...

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 ...

Task force aims to create clear crypto regulatory framework Trump administration seeks to reverse previous SEC crypto crackdown Industry leaders welcome move towards regulatory clarity Jan 21 ...

Trump, who campaigned on promises to be a "crypto president," has pledged to reverse an industry crackdown under former President Joe Biden's SEC, which sued multiple crypto companies, including ...