SEC

Regulators should step up their inspections of digital advisers as these tools surge in popularity, the firm said.

An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

The RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the SEC.

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.