The SEC warned investors interested in mutual funds with exposure to the bitcoin futures market to weigh the risks carefully.
The CFA Institute is taking a closer look at special purpose acquisition companies to see what changes might be needed in three key areas.
Australia's securities regulator is probing Westpac Banking over insider trading, just months after it settled money laundering charges.
Institutional investors are encouraged that new SEC Chairman Gary Gensler has a track record of getting controversial things done.
U.S. regulators are considering tougher disclosure requirements for investment firms in response to the implosion of Archegos Capital.
Alex Oh was appointed director of enforcement for the Securities and Exchange Commission.
The Labor Department's new investment-advice guidance makes clear that rollover recommendations will be a major focus moving forward.
Senators called on the Labor Department regulator not to exempt Goldman Sachs from 1MDB-related penalties on managing retirement assets.
A Trump-era investment-advice exemption was allowed to take effect in February, but the DOL signaled it has more work to do on the issue.
Treasury Secretary Janet Yellen has reconvened a hedge funds task force, seeking to identify risks and strengthen the U.S. financial system.
Chevron shareholders will be able to vote on proposals calling for emission reductions, after the SEC said Chevron couldn't exclude them.
The Securities and Exchange Commission denied a bid by U.S. stock exchanges to stay its new rule on market data infrastructure.
The DOL's non-enforcement policy for two Trump-era rules is welcome news for fiduciaries, but an ESG-investing boom isn't expected just yet.
Top executives at companies hit by accounting scandals could lose their bonuses under U.K. proposals for beefed-up regulation.
The Department of Labor will not enforce two high-profile rules promulgated during the Trump administration.
A group of former financial regulators called on Congress to examine the stability of the financial system following the GameStop episode.
A proposed amendment to the plan governing the consolidated audit trail would hurt investors and raise the chance of data being compromised.
SIFMA asked the SEC to examine whether personally identifiable information should be housed within the consolidated audit trail.
The Department of Labor has unveiled three pieces of guidance related to missing participants, including a range of best practices.
A group opposed to electronic disclosures asks regulators to reject a request by an organization seeking further guidance on their use.
The New York Stock Exchange is proceeding with a plan to delist three Chinese telecommunications firms, its second about-face this week.
The New York Stock Exchange is reconsidering a decision to halt the delisting of three Chinese firms after Trump administration objections.
The Department of Labor in just five days this month finalized two distinct yet controversial rule-making actions.
The President's Working Group on Financial Markets issued a report with general policy measures to make money market funds more resilient.
The Securities and Exchange Commission approved the New York Stock Exchange's plan to allow so-called primary direct floor listings