SEC

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

Massachusetts is probing whether the firm's wealth management unit steered clients toward inappropriate investments and high-cost accounts.

The commission is visiting far more advisors than just two years ago.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

The Senator wants to know what the SEC is doing to prevent harassment at banks.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

The scrutiny puts a spotlight on a small corner of the $3.4 trillion ETF industry.

"I think it's something that the market needs. I think it's something that regulators need," Jay Clayton says.

Advisor "reaped substantial profits" from 65 clients by using block accounts, the regulator says.