SEC

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

Some guidance is in order to make sure encountering the revised SEC document for the first time goes smoothly.

The firm’s former COO is accused of destroying a copy of the culture report.

Investigators say the broker spent his clients’ money on luxury cars and home improvements.

The fund will track an index based on a Human Rights Campaign Foundation gauge of corporate equality.

The legislation, opposed by most major asset managers, would repeal a requirement that the riskiest funds allow share value fluctuations.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

Liquidity and valuation are the regulator’s key areas of concern.

The regulator outlined the top priorities for 2018 examinations.