SEC

The former CFTC chair is expected to face intense pressure from progressive Democrats in his new role, many of whom want him to promptly toughen oversight.

The police, FBI, SEC and IRS, among other agencies, have been trying to track ex-advisor Chris Burns for months, to no avail.

It’s yet another revenue stream that may face pressure after the custodian spawned a race to zero commissions more than a year ago.

Several proposals have so far failed to pass the SEC's muster.

The trading app could go public late in the second quarter.

Free investment education and testing for risk tolerance are among the ways financial firms can better reach underserved consumers, former SEC chief Jay Clayton and Operation HOPE’s John Hope Bryant say.

As more people pile into the markets, it's crucial to foster financial literacy, write Christine Lazaro and Teresa Verges.

The veteran FAs’ one complaint blotted their records for seven years.

The funds are one of the largest forms of short-term debt vulnerable to investor runs in our financial system, writes former CFTC Chairman Timothy Massad.

Three recent criminal cases raise concerns that wealth managers and regulators aren’t detecting alleged fraud quickly enough or disclosing basic information about crimes and disciplinary problems.