Too often regulators get bogged down in the minutiae of prescriptive laws and miss their core intent, says Teresa Goody ...

and focuses on the basic principles of securities regulation and ensures agents comply with state securities laws. Unlike the Series 66, the Series 63 license is not concerned with investment ...

Securities: International Organization of Securities Commissions' (IOSCO) Objectives and Principles for Securities Regulation. Insurance: International Association of Insurance Supervisors' (IAIS) ...

Key issues to consider before entering into a settlement with a securities regulator, including the scope of the regulators’ ...

The lead of the U.S. Securities and Exchange Commission’s (SEC’s) new Crypto Task Force (Task Force), Commissioner Hester Peirce, recently laid ...