SEC

Cash sweeps are lucrative to brokerages and custodians, but not to clients. Here's what financial advisors should know about how they can get greater yield for clients' liquid assets.

A securities expert says the Ponzi-like plot allegedly carried out by a former Deutsche Bank investment banker is a sign that regulators need to provide crypto clarity.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.

The chair warned that fund companies using predictive analytics need to ensure the technology places their clients' interests first.

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.

The fintech startup is mining SEC, FINRA and other data to make information on financial advisors easier for consumers to digest.