SEC

Edward E. Matthes allegedly renovated his home, paid child support and bought luxury items with client money.

The industry’s biggest firms have grown bigger and the smaller firms have found it harder to compete on their own, the regulator found.

The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.

Make sure not to confuse it with the SEC’s self-reporting program.

The departure is likely to give the Republicans a stronger majority at least for a short time.

The SEC examined approximately 2,180 RIAs in 2019.

The SEC-approved ETF strategy protects “the intellectual alpha of active managers.”

Asset managers stand to gain from an SEC-approved ETF structure since “selection of securities is the intellectual property for which they are paid fees.”

SEC-mandated disclosures for dual registrants could put clients off brokerage options, some suggest.

From closed-end funds to Reg BI, here's what could be playing out this year.