SEC

A federal court has struck down the rule and the industry’s top online advice executives are speaking out.

While some are mainstays, there are a few new ones to add to the list this year.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Focus turns to the SEC as it considers creating its own higher standard of client care.

With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

Massachusetts is probing whether the firm's wealth management unit steered clients toward inappropriate investments and high-cost accounts.

The commission is visiting far more advisors than just two years ago.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

The Senator wants to know what the SEC is doing to prevent harassment at banks.