The United States Securities and Exchange Commission (SEC) will continue to pursue changes to the definition of “exchange” ...

Recent developments suggest that governing boards should consider both business and personal relationships when determining ...

Bankruptcy-remote custody solutions — like Anchorage Digital Bank, a federally chartered bank — would still meet the SEC definition of a qualified custodian. The analysis is more nuanced with ...

Explore the key differences between hedge funds and mutual funds, their advantages and disadvantages, and find out which ...

Securities fraud occurs when a party misrepresents information in order to make money in the securities market at the expense of others. Securities fraud occurs when one party illegally acts on or ...

Verizon and AT&T both said the fines violate their Seventh Amendment right to a jury trial, and that the location data ...

It is important that firms maintain a log of all marketing material that meets the SEC's definition of "advertising" and ensure claims can be adequately substantiated with factual, documented support.

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Spencer Platt / Getty Images The National Association of Securities Dealers (NASD) was a self-regulatory organization in the securities industry from 1939 to 2007. What Was the National ...

Young adults should begin to build a well-diversified portfolio of the major asset classes that include mutual funds or exchange traded funds (ETFs) that cover major indices of domestic and ...

Securities and Exchange Board of India (SEBI) may expand the ambit of Unpublished Price Sensitive Information (UPSI) by ...

UPSI refers to non-public information about a company or its securities that, when disclosed, could significantly impact ...