SEC

Critics say SEC efforts to regulate advisor titles could produce a game of whack-a-mole, as non-fiduciary financial professionals adopt other terms intended to blur lines.

FPA leaders say they are sounding out members and looking at where the proposals may fall short of needed investor protections.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

The influential retiree advocacy group filed for a 17-judge review of the decision.

Whatever planners learned when they were trained for the job decades ago is most likely outdated.

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

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

The firm’s headcount declined slightly in the quarter, but advisors’ productivity remains strong and growing.

The regulator's proposal is set to remake compliance standards for brokers and advisors.

The advisor fooled her victims into thinking she would invest their funds when in fact she used the money to buy luxury items and real estate, prosecutors claim.