Candidates for Congress often focus their campaigns on local issues — such as roads and bridges that need to be fixed — while working in national themes like inflation. Steve Irwin hopes securities regulation will be a topic that helps ...

BlockFi Inc., a popular crypto platform, agreed to pay $100 million to settle allegations from the Securities and Exchange Commission and state regulators that it illegally offered a product that pays customers high interest rates to lend out their digital ...

Maryland, Mississippi and Vermont have become the first states to implement continuing education requirements for investment adviser representatives in their states. The requirements are based on a model adopted by the North American Securities Administrators Association in November 2020; the ...

Federal and state regulators charged a precious metals dealer Tuesday with a $67 million fraud that harmed mostly elderly investors. The Securities and Exchange Commission filed a civil suit in a Los Angeles federal court against Safeguard Metals and its ...

Bipartisan Senate legislation to combat senior financial exploitation gives backers hope the measure could be approved by Congress this year. The Empowering States to Protect Seniors from Bad Actors Act would provide $10 million in grants annually to state regulators ...

Fake investments purporting to be cryptocurrency and digital asset offerings could do the most harm to investors this year, state securities regulators said Monday. Crypto scams were cited as the top investor threat in an annual survey released by the ...

This article is one in a series of outlooks for 2022 by the InvestmentNews team. Political tension on the Securities and Exchange Commission could permeate the agency’s work in 2022, and the first tangible evidence will come early this year. ...

Protecting elderly investors from financial exploitation has become a reliable bipartisan issue on Capitol Hill at a time when lawmakers aren’t working together on many other topics. Another example of its cross-aisle support was a unanimous voice vote by the ...

State securities regulators are being pulled in different directions on their proposal to help harmed investors obtain award payments when they win arbitration cases. Generally, the financial industry wants to narrow the measure, while investor advocates want to expand it. ...

As state regulators, Finra and lawmakers place an increasing emphasis on stopping the financial exploitation of the elderly, financial advisers are calling for better coordination and communication to tackle the problem. Over the last several years, the Financial Industry Regulatory ...