SEC

Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.

Thomas Buck misled clients in order to charge them excessive commissions, according to federal prosecutors.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

The former broker bilked more than a dozen former clients over an eight-year period, prosecutors said.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Former SEC economists faulted the regualtor for what they called “weak and incomplete” economic analysis.

A new consumer financial protection bill would expand duties for brokers and insurance providers.

The proposal from CBOE Global Markets, if passed, would have been the industry’s first-of-its-kind.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

As wealth managers collect more client information, it is up to advisors to understand the value of data to the business and how it needs to be handled.

To win at cybersecurity, base your strategy on the way you are already serving clients.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

Our industry is not becoming more consolidated. It’s becoming more fragmented.

Non-public corporate earnings reports were among the stolen information, the regulator claims.

New Chairwoman Susan John says the board is preparing for more cases due to its new standards and code of conduct.

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

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

The SEC is running on a skeleton crew that effectively halts routine oversight.