SEC

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

How to stay out of trouble if a customer praises your investing prowess on your site.

Staying current with where the regulation stands can be hard. Here's what advisors need to know now.

OCIE puts advisors on notice about widespread use of misleading claims and failures of disclosure.

SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.

When measured against a standard of care for best interest advice, digital wealth managers fall short, attorney Melanie Fein argues.

Public perception, the laboriousness of the rule-making process and other factors have acted as roadblocks to wholesale repealing the regulation.

Advocates call for the commission to address investor confusion.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.