Regulators

Advisers see disturbing signs of regulatory innovation

Citadel Securities is muscling up against accusations that the quant trading giant conspired with online broker-dealer Robinhood to squelch a populist investor raid on GameStop ...

Cases reveal a brokerage system all but begging to be exploited.

SEC Chairman Gary Gensler has turned to a University of Colorado law professor to help run the Division of Corporation Finance—and he may have dropped ...

In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...

Remarks Before The Future of Asset Management North America Conference Washington D.C. Sept. 29, 2021 I’d like to thank the Financial Times for putting on ...

Committee recommends 'chaperoned access'

State regulators opened 5,501 new investigations last year, focusing on  digital assets, precious metals, social media, and self-directed individual retirement accounts, NASAA says in its ...

MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...

Pair gamed 'meme stonk' chaos, feds claim