SEC

The regulator accused the firm of collecting excess mutual fund fees by steering clients into more expensive share classes.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.

Regulators have revealed what kind of issues advisors must address if faced with a review.

The SEC could continue cracking down on brokers and advisers, but some see Clayton’s leadership taking a more business-friendly tack.

Business groups looking for regulatory relief were quick to hail the Senate's confirmation of Jay Clayton, a veteran Wall Street lawyer.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.

The White House’s inaction has left the SEC and the CFTC with just two members each, one from each party, giving Democrats the power to block policy moves they disagree with.

Here's what an alternative approach to the Labor Department regulation could look like.

RIAs must start disclosing more about bad actors, auditors and asset breakdowns.

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

Firms will be permitted to place a temporary hold on disbursements of funds when there is reasonable belief of financial exploitation.

A federal judge issued a restraining order and a temporary asset freeze against the former broker.

The senator isn't waiting for attorney Jay Clayton's confirmation hearing to ramp up her opposition.

The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.

The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.

The research giant says it aims to lower costs by removing a layer of fees paid to third-party managers.

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.

"The number of enforcement cases is likely to be down considerably going forward," said Urska Velikonja, a law professor at Emory University.