SEC

More than half of advisors would consider buying a smart beta muni bond ETF for clients, according to a Columbia Threadneedle poll.

Piwowar was appointed to the SEC by President Obama in 2013.

An advisor kept working with clients, and impersonated others on phone calls with Schwab, the SEC says.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.

The policy had been under review after a federal appeals court vacated the fiduciary rule earlier this year.

The brokerage firm is holding off on making major changes while regulatory frameworks shift once again.

The Biltmore Capital fund was dissolved at an almost total loss, but not before Caleb Overton raised $2.2 million from 10 investors.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

The proposals failed to show how exchanges would “prevent fraudulent and manipulative acts and practices," the commission said.