A dually-registered broker-dealer and investment adviser settled SEC charges for providing unsuitable recommendation on complex variable interest rate structured products to investors nearing retirement age.
News & Insights
17 News Results
A broker-dealer settled SEC charges related to unsuitable recommendations, material misstatements, and misrepresentations to retail customers involving highly complex variable interest rate structured products.
SEC Chair Gary Gensler addressed the risks and challenges new technologies present to investors.
At a meeting of the Investor Advisory Committee, SEC Chair Gary Gensler and SEC Commissioner Hester Peirce continued their debate on the SEC's approach to crypto regulation.
SEC Chair Gary Gensler directed staff to study the risks of complex exchange-traded products and recommend potential rulemakings to address such risks.