Firms allegedly made misleading statements about their use of AI in investing strategies
Crypto lending program amounted to unregistered securities offering, regulator charged
Program aims to close gaps involving crimes that aren't cases for SEC, CFTC
Regulators seek to combat fund industry greenwashing risks
Industry, environmental groups gearing up for legal fight over disclosure requirements
Financial sector funds now out of bounds for regulator's employees
U.S. authorities allege man secretly traded after overhearing wife's M&A deal
Broker failed to alert investors to cheaper investing channel, regulator alleges
ETF firm failed to disclose influencer's role in touting fund, regulator alleged
Firms failed to ensure that all communications went through approved channels