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The Securities and Exchange Commission announced the results of its enforcement actions during the fiscal year 2023 in a news release last week. The SEC said it had filed a total of 784 enforcement actions through the end of September, an increase of 3 percent over...
The Consumer Financial Protection Bureau (CFPB) announced that it is proposing tighter regulation of big tech companies offering services such as digital wallets and payment apps, Reuters reports. The agency said that despite the popularity of these payment services,...
One of the members of the Securities and Exchange Commission is calling for revisions in the SEC's proposed rule on climate disclosures, reports Reuters. Mark Uyeda made his comments at an address at the Practising Law Institute's 55th Annual Institute on Securities...
Bank of America has been hit with a lawsuit by one of its clients in California who alleges elder financial abuse, according to a ThinkAdvisor report. 77-year-old Annie Ma claims that she lost her $690,000 in life savings in a so-called "Chinese authorities scam." ...
The Certified Financial Planner Board of Standards announced a step aimed at enhancing the transparency of public sanctions against advisors, reports Wealth Management. The CFP Board said that going forward, whenever it issues a news release involving public...
The Financial Industry Regulatory Authority has drawn additional support in defending a legal challenge to its constitutionality, according to InvestmentNews. The North American Securities Administrators Association (NASAA) and the Public Investors Advocate Bar...
The Department of Justice has filed a brief opposing a challenge to the constitutionality of the Financial Industry Regulatory Authority, according to a Reuters report. The DOJ took the action last at the District of Columbia U.S. Circuit Court of Appeals in support...
Wells Fargo & Company disclosed that it is under investigation over cash sweep options provided to its investment advisory clients, Reuters reports. The disclosure of the probe by the Securities and Exchange Commission came in a regulatory filing by the bank. The...
The Chair of the Securities and Exchange Commission addressed the opportunities and risks presented by the growth of artificial intelligence during an exclusive interview with MarketWatch recently. Gensler discussed the potential ramifications of AI technology for the...
The Financial Industry Regulatory Authority has released a report on quantum computing and its implications for the securities industry, Financial Advisor reports. Quantum computing utilizes the principles of quantum mechanics, a branch of physics, to solve problems...
