Regulation & Compliance

Gary Gensler wants to level the playing field for regular folks navigating a fragmented marketplace.

Flagstaff, Ariz.–based John Lopez promised clients his 'algorithm' guaranteed 10% returns; he faces 20 years in prison for allegedly deceiving clients of his non-registered business, Personal Money Management Company.

Regulators have had a busy year chasing after financial scammers — and there’s a lot more work to do.

The SEC’s proposal to overhaul how transactions are conducted reads like the invention of lawyers and economists who can’t see the easy fix that exists right before their eyes.

It’s hard to see how the uncertain benefits justify the effort.

Former Entreda CEO Sid Yenamandra has co-founded a venture studio to drive data governance and compliance tech innovation and help startups in the field reach market more efficiently.

The Securities and Exchange Commission laid out four proposals that Chair Gary Gensler says would boost transparency and competition.

Massachusetts becomes the 30th state to enact a rule or law based upon the model passed by the National Association of Insurance Commissioners, intended to align state regs for annuity sales with the SEC’s Regulation Best Interest.

The eight defendants allegedly perpetrated a "pump and dump" scheme using their social media followers on Twitter and Discord.