SEC

The agency is continuing its focus on firms that have never been examined, including recently formed ones.

The action against Atria Wealth Solutions’ Western International Securities offers a substantive hint on the future potential matters under the rule.

An order-by-auction system would be a significant change to the way retail trades are executed.

Asset management firms say the SEC can't regulate something it hasn't yet defined.

The regulator charged RiverSource with violating a provision of the Investment Company Act that’s never previously been part of an enforcement action.

The regulator's proposal for sweeping disclosure rules is not making the asset management industry happy.

Firms like Morgan Stanley, Goldman Sachs and Commonwealth have made changes under the rule, but the SEC is sending tough and vague messages.

In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.

With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.

Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.

Whether it's a watchdog or up-and-coming advisor, claims and counterclaims are plentiful across the industry.

Barred broker Dain F. Stokes faces a criminal rap after raising hundreds of thousands of dollars for the phony philanthropic project, investigators say.

Denise Badgerow won her long legal fight, while a Pennsylvania RIA and the Massachusetts securities regulator are currently weighing their options after decisions.

There are three basic steps that other financial firms have already adopted in larger numbers than wealth managers.

The regulator plans to focus on Reg BI, ESG criteria, private funds, cybersecurity and crypto assets in 2022, according to its closely watched report.

The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.

The clearing brokerage and custodian to Naseem Salamah’s former RIA employer has provided restitution to the three “elderly” victims, records show.

A new potential fiduciary rule and a court decision involving independent contractors have the industry and consumer advocates watching carefully.

The guidance touches on the controversial policy debate about conflict-of-interest rules and what it means for brokers to act in the interest of their clients.

Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.