SEC

The legislation, opposed by most major asset managers, would repeal a requirement that the riskiest funds allow share value fluctuations.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

Liquidity and valuation are the regulator’s key areas of concern.

The regulator outlined the top priorities for 2018 examinations.

New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.

The first pure-play pot ETF in the U.S. expanded 13-fold in five trading days.

How advisors deal with grievances and arbitration can make or break a career.

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.