SEC

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

Advisers may think their firm’s credibility stems from a big number. That’s not to say they should misrepresent their assets under management, Michael Kitces writes.

An open question is how the latest effort by the agency would coordinate with the Department of Labor.

The investor received 15 months in prison after pleading guilty to wire fraud.

The OCIE is suggesting best practices for firms to protect themselves.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

The regulator accused the firm of collecting excess mutual fund fees by steering clients into more expensive share classes.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.