SEC

Here are questions the agency has been asking.

It could be the most significant update to advisor standards of conduct in years.

“The general feeling is that progress is made every day, little by little,” an executive said of the crypto community’s optimism.

The delay does not “indicate that the commission has reached any conclusions,” the regulator said.

With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

Christopher Dougherty’s proferred investments allegedly included real estate properties and a 100-acre organic farm.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.

The allegation was laid out in an SEC order, which hit a U.S. unit of the firm with a $500,000 penalty.