SCOTUS

A Supreme Court ruling could eviscerate one of the agency’s most potent weapons.

From closed-end funds to Reg BI, here's what could be playing out this year.

The court is taking up a challenge to one of the agency’s most potent legal weapons.

The justices said bankers can be held liable for sending clients deceptive information written by others.

From the SEC to the Supreme Court, here's what could be playing out this year.

The banker involved in a case going before the justices is accused of misrepresenting the financial condition of a client.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

The Supreme Court recently reversed an appeals court ruling on what constitutes “money remuneration.”

Avoiding this oversight can save clients from costly and painful legal battles after a loved one has passed away.

In response to a Supreme Court ruling, the regulator will revisit 126 legal proceedings, including nearly two dozen advisor cases.

Always check and update the beneficiary forms.

The court said the in-house SEC judge who handled Raymond Lucia’s case was a constitutional "officer," meaning he should have been directly appointed by the SEC.

Wall Street whistleblowers just got another reason to take their gripes directly to the SEC.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

Even after a federal appeals court struck down the rule, more clashes over the regulation of sales versus advice are inevitable.

The Department of Labor has an incentive to defend its rule-making authority even though it is considering revisions to the regulation.

The legal setback for the rule's foes still leaves three ongoing court challenges, as well as an uncertain future after Trump takes office.

Some of the most significant financial planning changes advisers should consider when working with same-sex couples.

Some of the most significant financial planning changes advisers should consider when working with same-sex couples.