Mobile investing apps exploded in popularity post-pandemic and some analysts say they could draw hundreds of millions of new retail investors by the end of next year. That meteoric rise is attracting the attention of lawmakers and regulators, who are ...

The XY Planning Network filed petitions with the Securities and Exchange Commission Monday to promulgate rules that would sharpen the distinction between brokers and investment advisers. The network, a financial planning platform for fee-for-service investment advisers, is prodding the SEC ...

A significant loss to my source list is now the Securities and Exchange Commission’s gain when it comes to oversight of investment advisers and brokers. The agency last week announced that Barbara Roper, director of investor protection at the Consumer ...

The Securities and Exchange Commission is considering more stringent disclosure requirements for investment funds amid concerns that some in the industry are making unfounded ESG claims. “Many funds these days brand themselves as ‘green,‘ ‘sustainable,‘ ‘low-carbon,’ and so on,” SEC ...

The Securities and Exchange Commission has appointed consumer advocate Barbara Roper as senior adviser to Chairman Gary Gensler. Roper is currently the director of investor protection for the Consumer Federation of America. At the SEC, she will focus on issues ...

The battle over authority of cryptocurrency regulation is heating up as the GOP pushes back on Securities and Exchange Commission Chair Gary Gensler’s call for Congress to grant the SEC more authority over cryptocurrency.  Rep. Patrick McHenry, R-N.C., ranking minority ...

Securities and Exchange Commission Chairman Gary Gensler ignited a fresh wave of optimism among Bitcoin exchange-traded fund advocates this month — but it’s unclear whether investors share that enthusiasm. Digital asset investment products from Grayscale, Bitwise, 21Shares and others saw outflows for ...

Securities and Exchange Commission Chair Gary Gensler is turning to Sen. Elizabeth Warren for help as he seeks to clamp down on cryptocurrency exchanges. Gensler, who’s repeatedly rung alarm bells over the platforms during his four-month tenure, told Warren in ...

Securities and Exchange Commission Chairman Gary Gensler took to social media Tuesday to promote increased disclosure of climate risk by public companies. In a thread on Twitter, Gensler briefly outlined the directive he’s given to agency staff to draft by ...

With his cryptic message on cryptocurrencies earlier this week, Securities and Exchange Commission chairman Gary Gensler may have opened the floodgates for ETF providers looking for any opportunity to launch a Bitcoin fund in the U.S. At least three new ...