SEC

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

Critics say quarterly reporting prompts companies to hold back on hiring and spend capital on share buybacks to meet short-term forecasts.

Love or hate Bitcoin and other cryptocurrencies, Ric Edelman says advisors still must prepare to help clients invest in a "cashless future."

Melvin Leonard Wimmer Jr. is said to have bilked clients out of their retirement savings.

Large teams formerly at wirehouses now account for 30% of new RIAs, according to new research by Schwab Advisor Services.

Companies that haven’t released financial reports for extended periods of time are expected to be put under the microscope.

It’s another example of how impactful an update to broker standards of conduct could be.

A new fund awaiting SEC approval seeks “to address the concerns of vegans, animal lovers and environmentalists.”

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.