8 Warnings for Bitcoin Investors
William Galvin, Massachusetts' top securities regulator, shares some things to know before investing in digital currencies.
Bipartisan Bill Would Allow Electronic Delivery of 401(k) Statements
Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act would cut out wasteful, expensive paper trail
FINRA, Herbers Offer 2 New Educational Opportunities for Advisors
Angie Herbers rolls out Beyond U for online training, while FINRA partners with Georgetown to offer a regulatory designation.
For Bitcoin Wise Man, ICOs Are Real Crypto Bubble Ready to Burst
Those without working projects did best in the first trading month; almost two-thirds of coin sales with testable projects slumped.
SIFMA Sees SEC Fiduciary Rule Proposal Within 18 Months
The lobbying group takes SEC Chairman Jay Clayton "at his word" that the rule is a top priority, CEO Ken Bentsen says.
SEC Chief Clayton Issues Warning on Cryptocurrencies, ICOs
“If you choose to invest in these products, please ask questions and demand clear answers,” Clayton said on the day Bitcoin futures debuted.
Regulation-Killing Push Falls Short of White House Boasts
White House officials are touting cuts to regulations as one of their top achievements. But government records tell a different story.
SEC Names New Chief of Complex Financial Instruments Unit
Daniel Michael looks forward to fighting fraud in "some of the most challenging areas of the markets."
FINRA Seeks to Revamp Expungement Process
FINRA said that it's discussing with NASAA "more extensive changes" to the process.
Aguilar, TD’s Schweiss Discuss How an SEC Fiduciary Rule Could Work
The two industry insiders talked to ThinkAdvisor about how a rule could move forward but said proposing one next year would be "tricky."