Learn about the Series 63 exam failure rates, the retake policies, and strategies to improve your chances of passing and ...

The Securities and Exchange Commission will review broker-dealers' process for resetting interest rates on variable-rate ...

If you work at or with an investment adviser, the SEC’s 2026 examination priorities are critical because they shape what examiners will ...

Connecticut banking regulators have ordered a Norwalk-based investment adviser to cease operations and are moving to revoke ...

The U.S. Securities and Exchange Commission (SEC) has officially appointed Keith E. Cassidy as the Director of the Division of Examinations, effective ...

The violations, which involved $14.4 million in securities, took place over a seven-year timeframe, Finra said.

New data show LPL, Edward Jones, and other national players leading amid a surge in credential holders, with more women and ...

Apple faces a potentially pivotal FQ1 2026 earnings report with consensus expecting double-digit revenue and EPS growth. Read ...

"I don't think this topic is necessarily gaining traction as an enforcement matter," said Andrew Kintzinger, counsel at ...

Fifth Third Bancorp is rated Sell due to skepticism over its Comerica acquisition and full valuation. Learn more about FITB ...

Bitwise Asset Management, the global cryptoasset manager with more than $15 billion in client assets, and VettaFi, an indexing, digital distribution, analytics, and thought leadership company, today ...

In total, 96 people were prosecuted for either impersonating someone in an exam or trying to cheat. A court heard in June 2025 that a man had impersonated other learner drivers as many as 12 times at ...