SEC

The asset manager said it’s seeking a head of ETF capital markets in a post on LinkedIn.

The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.

The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.

The once high-profile RIA owner ran a $20 million Ponzi scheme, federal prosecutors said.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

Advisors and their firms should be prepared for how they will respond to expanded fiduciary responsibilities under new standards.

While bond investor anxiety previously focused on how the funds respond to abrupt withdrawals, skeptics are now homing in on secondary trading.

The commission warns practices to tighten up supervision and ensure accurate disclosures.

AR Capital, Schorsch and former CFO Brian Block allegedly raked in millions through inflating fees in REIT mergers.

The SEC’s 564-page rule shows the new disclosure could prove time-consuming, even vexing, for firms.

The group cited "confusion" among certified planners sparked by passage of the SEC's less-strict Regulation Best Interest.

Regulators are asking cannabis fund providers to produce third-party legal opinions verifying they don’t violate state or federal laws.

A new report asks whether the products have the potential to spark another crisis despite being created at the urging of the SEC to reduce risk.

The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

Dennis Gibb used client funds to pay for his own business and personal expenses, such as mortgage and car payments.

The custodial bank says it has reimbursed the affected clients with interest.