SEC

The investment group accuses the regulator of “failing to apply consistent treatment to similar investment vehicles.”

Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.

The agency is continuing its focus on firms that have never been examined, including recently formed ones.

The action against Atria Wealth Solutions’ Western International Securities offers a substantive hint on the future potential matters under the rule.

An order-by-auction system would be a significant change to the way retail trades are executed.

Asset management firms say the SEC can't regulate something it hasn't yet defined.

The regulator charged RiverSource with violating a provision of the Investment Company Act that’s never previously been part of an enforcement action.

The regulator's proposal for sweeping disclosure rules is not making the asset management industry happy.

Firms like Morgan Stanley, Goldman Sachs and Commonwealth have made changes under the rule, but the SEC is sending tough and vague messages.

In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.