SEC

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

Our industry is not becoming more consolidated. It’s becoming more fragmented.

Non-public corporate earnings reports were among the stolen information, the regulator claims.

New Chairwoman Susan John says the board is preparing for more cases due to its new standards and code of conduct.

From the SEC to the Supreme Court, here's what could be playing out this year.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

The SEC is running on a skeleton crew that effectively halts routine oversight.

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.