SEC

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.

Complicating socially conscious investing is the fact the SEC doesn’t regulate how the category’s labeling is applied.

Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.

The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.

The Managed Funds Association urged the agency to do more analysis before moving forward.

The Justice Department filed two counts of wire fraud against the firm but agreed to defer prosecution under a three-year deal that requires the bank to report its remediation and compliance efforts to the government.

Actions hit a nine-year high and restitution climbed to the highest total since 2013 — even before the rule’s heightened scrutiny.

Expenses fell by 20 basis points and risk-adjusted returns climbed 92 bps, according to the study.

Investor advocates, religious groups and proponents of ESG investing argue the changes are a gift to business lobbyists that will muzzle corporate critics.

The broker hasn't been registered in over a decade, and was using clients’ usernames and passwords to make trades in their self-directed brokerage accounts, according to the regulator.