SEC

After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.

Although they praise certain changes in a rule up for SEC approval, client attorneys and researchers say the process has further flaws.

The giant retirement plan recordkeeper’s BD didn’t adequately file suspicious activity reports for more than three years, according to investigators.

Having a regulator appoint an auditor would deal with the conflicts once and for all, writes Chris Hughes.

Early comments from Chairman Gary Gensler have thrown cold water on speculation that the regulator would quickly approve a crypto fund.

In releasing their annual snapshot, state securities agency officials pledged to provide clarity around the compliance headache for small practices.

Peggy Ho built the rival firm’s government relations team, and she’s joining the new firm at a pivotal time in wealth management regulation.

Advocates hope the Labor Department's first clarification on the Trump-era advice rule is the beginning of a series of steps to improve advice standards.

More investors can now invest in private capital markets thanks to an SEC amendment that broadens criteria beyond wealth and income, writes Sophia Duffy.

While efforts to recover cash through litigation have repaid nearly 70% of valid claims, hundreds say they have been victimized a second time by that system.