SEC

The $4.64 billion fund lost 75% of its value in two months.

Firms founded by Jason Wenk allegedly failed to oversee a former advisor accused of investing clients in unregistered securities.

The regulator was one of the first U.S. agencies to tell employees to stay home during the pandemic,

Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.

The firm allegedly provided some clients with misleading information about which charges they were actually paying for.

“This is all about having the flexibility and having multiple options for our investors,” says GSAM’s head of ETF strategy.

Standard General accused Tusk Strategies of “blanketing the media with false and misleading proxy materials” on behalf of a “secret client.”

Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.

XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.

A new fund from Pacer ETFs will track an index of companies offering products, technologies and services that are currently in high demand.

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Here's what advisors need to know as the agency continues remote exams.

Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.

The fund will track industries such as cloud technologies, remote communications and cyber security, according to an SEC filing.

Organizations and firms are donating N95 masks, providing resources at no cost and taking steps to protect employees and practices nationwide from the spreading pandemic.

FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.

The regulator is seeking feedback on whether the current requirements that restrict the use of potentially misleading fund names are effective.

Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.

The relief allows funds to obtain cash infusions through collateralized loans until the end of June.

Only a firm “actively swindling funds” would trigger an onsite visit, according to Peter Driscoll.