Kenneth Corbin

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.

A third-party examination system might be the most practical response to RIA oversight, but questions remain about how advisors will shoulder the costs.

ETFs made investing easier for retail clients, not just in stocks but in riskier areas they may not understand like currencies and bank loans.

The commission wants to dramatically reshape the regulatory environment for investment advice in waning months of President Obama's administration.

About 75% of what's in the proposal will probably stick, says a leading retirement expert. Here's what advisors can expect.

The commission's barring of one advisor follows similar action by state authorities, indicating that regulators are coordinating their enforcement activities.