Kenneth Corbin

The wirehouse was seeking to resolve class-action lawsuit alleging labor-law violations in advisor trainee program.

SEC Chairwoman tells lawmakers that a uniform fiduciary proposal is advancing and appeals for a funding increase that would be used to beef up advisor exams.

The SEC will want to see tailored policies and procedures if the Treasury Dept finalizes its rule requiring RIAs to set up anti-money laundering programs.

As head of new Office of Risk and Strategy, Peter Driscoll says his team will ramp up scrutiny.

Among the measures commission officials say they're working on is a third-party examination framework.

Anthony Kelly, the new co-head of the SEC’s Enforcement Division subunit, looks to reassure CCOs.

New research highlights gender gap, as experts call for more financial education in the workplace and policy changes to address retirement security.

SEC officials warn many advisors and brokers have next to no cybersecurity policies in place, exposing them to data breaches and potential enforcement actions.

As part of a multi-year initiative, the commission has unearthed numerous deficiencies in how advisors and brokers work with and market to clients planning for retirement.

The industry regulator handed out a lifetime ban, fines and suspensions to three brokers involved in a scheme to pump up the trading price and volume of stock.