SEC

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.

Industry leaders see an opportunity to reshape debates that determine wealth management's future.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

Some guidance is in order to make sure encountering the revised SEC document for the first time goes smoothly.

The firm’s former COO is accused of destroying a copy of the culture report.

Investigators say the broker spent his clients’ money on luxury cars and home improvements.

The fund will track an index based on a Human Rights Campaign Foundation gauge of corporate equality.