SEC

Bradley Mascho helped Bennett defraud at least 46 investors, including many seniors, the regulator charges.

He intercepted checks from her home when she wasn’t there and forged her signature to steal her money, investigators say.

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

After building an empire on passive funds, the world’s largest asset manager is readying a suite of actively managed funds.

Some fund managers specializing in distressed debt smell an opportunity.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.