SEC

Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.

The firm allegedly provided some clients with misleading information about which charges they were actually paying for.

“This is all about having the flexibility and having multiple options for our investors,” says GSAM’s head of ETF strategy.

Standard General accused Tusk Strategies of “blanketing the media with false and misleading proxy materials” on behalf of a “secret client.”

Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.

XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.

A new fund from Pacer ETFs will track an index of companies offering products, technologies and services that are currently in high demand.

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Here's what advisors need to know as the agency continues remote exams.

Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.