Vanguard reaches $19.5M SEC settlement
Intense Life Desires Vanguard Advisers encouraged advisors to enroll customers in personal financial services without properly disclosing employees’...
SEC
Judge Margaret Ryan is ‘unconventional’ pick for SEC enforcement chief
Judge Margaret “Meg” Ryan. The military appeals court judge tapped to helm the Securities and...
Armed forces judge to lead SEC enforcement
Margaret “Meg” Ryan will lead the Securities and Exchange Commission’s enforcement division, putting a military...
Crypto ETFs one step closer to mainstream after SEC rule shift
The U.S. Securities and Exchange Commission is fast helping to transform digital assets into a...
New generation of crypto ETFs edge closer to reality after SEC scrutiny
U.S. regulators have asked Wall Street firms racing to launch solana exchange-traded funds to revise...
SEC withdraws AI, cybersecurity rules for advisors
The SEC is dropping a slew of proposals that would have heightened advisors’ responsibilities for...
Advisors question SEC push to extend alts investing
Advisors and securities lawyers are raising a collective eyebrow at a big push now underway...