Who Actually Needs to Register as a Broker-Dealer? — SEC Roundup
By Nicolas Morgan and Tom ZaccaroAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
September 05, 2025
RIA Industry 'Trending Toward Mediocrity': ReportRIAs' employee development and compensation practices are falling short, DeVoe & Co. finds in a new survey.
September 05, 2025
Massachusetts RIA to Pay $75K Over Marketing Rule ViolationsThe firm claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said.
September 05, 2025
Quiz: Do You Know These Alternative Investment Tax Facts?Test your tax knowledge on real estate, crypto, precious metals and other assets.
September 05, 2025
7 Corebridge Annuity Design SecretsKevin Hogan, the company's CEO, told Wall Street what happens behind the office doors.
September 05, 2025
5 Big Rules on the SEC's 2026 To-Do ListThe agency plans to propose and finalize some major directives this year and next, its agenda shows.
September 05, 2025
SEC and CFTC Start Bid to Align Agencies’ Rules for Wall StreetThe agencies said Friday that they would hold a roundtable Sept. 29 to discuss “regulatory harmonization.”
September 05, 2025
SEC Wiped Ex-Chair Gensler's Text MessagesThe agency's inspector general is recommending actions to strengthen the management of mobile devices and federal records.