SEC

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

What led Louis Martin Blazer III to cooperate with federal prosecutors?

Recent criminal charges parallel another case brought by the SEC against the broker.

Louis Martin Blazer is a "cooperating witness" in the federal case targeting corruption in college basketball.

State examiners are finding more shortcomings. At the same time, advisors face bulked-up regulators probing more aspects of their practices.

Asset managers are still guessing how clean shares will fare under the new regulation.

While the SEC does its due diligence into the new European rules, some of the world’s largest money managers have started to make independent decisions.