SEC

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.

What different outcomes could mean for financial planners and their clients.

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.

Complicating socially conscious investing is the fact the SEC doesn’t regulate how the category’s labeling is applied.

Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.

The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.

The Managed Funds Association urged the agency to do more analysis before moving forward.