The basic conundrum: If the SEC makes its rules harsher, it puts itself at a competitive disadvantage. But if the SEC is ...

Industry group says $1B AUM line reflects inflation, rising regulation, and evolving advisory business models.

Two of the most powerful financial regulators in the United States have signed a new agreement aimed at reducing confusion over how cryptocurrencies should be regulated.

SEC commissioner Greg Sankey called NCAA language covering tampering rules "archaic," but stopped short of urging the oversight body to halt tampering investigations, the way the Big Ten did earlier ...

Officials from the SEC and the CFTC have framed the pact as a significant step towards ending long-standing tensions over ...

A former senior Securities and Exchange Commission enforcement official told lawmakers Tuesday that the agency has “lost its way” on fairness in recent years and must adopt formal internal safeguards ...

In what may be indicative of the Securities and Exchange Commission’s renewed focus on small business capital formation, one of the topics that the staff (the “Staff”) of the Commission’s Division of ...

SEC and CFTC sign agreement to coordinate regulation, clarify crypto oversight, and reduce duplicative rules across US financial markets.

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...

Ironlight raises $21M to expand a regulated marketplace for tokenized securities as blockchain based equities trading surpasses $1B.

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an ...