As a subsidiary of Bank of America, Merrill uses a BofA software program to monitor and report suspicious activity. For years ...

SEC commissioner expects the CLARITY Act to pass soon, shifting oversight to CFTC. Fed rate hike in 2026 at 54.5% YES.

Brian Daly, SEC director of investment management, joins 'Power Lunch' to discuss the SEC's public comment period on prediction markets and ETF wrappers, the early feedback they've received and much ...

The tight control kept by CEO Elon Musk and a rush by index providers to add the shares cut across corporate-governance norms ...

Another booming year of M&A activity among RIAs has caught the attention of the Securities and Exchange Commission (SEC). The dealmaking was flagged under “business practices that may create ...

The U.S. SEC is putting the finishing touches on a framework that would allow digital, blockchain-based versions of publicly traded stocks to trade on crypto platforms. The U.S. Securities and ...

The Securities and Exchange Commission (SEC) is preparing an "innovation exemption" for tokenized securities as early as this week, Bloomberg Law reported SEC Chair Paul Atkins earlier in May signaled ...

The Consolidated Audit Trail is a database that tracks all activity in U.S. equity and options markets. Firms say the size and breadth of the data the U.S. Securities and Exchange Commission collected ...

The Securities and Exchange Commission rescinded a policy Monday requiring defendants in settled enforcement actions not to publicly deny the SEC's allegations. Processing Content The policy has ...