U.S. broker-dealers reported nearly 2,300 cases of suspected senior-related fraud or exploitation to authorities in 2015
Regulators and industry will discuss how small- and mid-sized investment firms can protect critical client information
The legislation would weaken reforms put in place by the Dodd-Frank Act in response to the financial crisis
State regulators lobby for establishing a fiduciary duty standard
An agreement between U.S. state and federal securities regulators intends to ensure crowdfunding exemptions are enabling access to capital
New program targets workplaces in Canada and the U.S.
State regulators have published a proposed policy on the use of electronic offerings, and electronic signatures
For first time, report shows more actions brought against registered securities industry members than non-registered individuals
Cybersecurity, enforcement and seniors are top priorities for the year ahead
Publication aims to help protect senior clients from the adverse consequences of financial exploitation and diminished capacity