SEC

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

The manager expects the rule would remove some of the impediments faced by wannabe ETF issuers.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

What led Louis Martin Blazer III to cooperate with federal prosecutors?