SEC

The deputy director of the agency's examinations unit, however, cautions that any such effort must be carefully coordinated.

The latest developments make columnist Bob Veres wonder whether he has fallen through a wormhole.

Acting Chairman Michael Piwowar calls accredited investor threshold an "artificial distinction" that perversely can hurt the smaller investors it's designed to protect.

Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.

“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”

In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.

Even a well-intentioned compliance manual can draw the ire of regulators.

The SEC released a letter outlining where the most common deficiencies occur.

In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.

SEC staff recommended this solution as far back as 2011.

The Obama-era regulation may survive even Trump's sweeping regulatory rollback, some experts say.

The adviser used the money to fund his “lavish lifestyle,” including $1.6M for private jet services, according to authorities.

Here’s what the president’s actions mean for advisers and firms.

Morgan Stanley and Advisor Group are moving ahead with changes despite the possibility that the Department of Labor's regulation could be reversed.

The regulator was operating with three of five commissioners before Chairwoman Mary Jo White left.

Michael J. Breton admitted to using master accounts from Fidelity and Schwab to take winning investments for himself, while giving clients the losers, the Department of Justice says.

The settlement comes two weeks after Citigroup resolved similar charges with the New York Attorney General's office.

The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.

Coding and other billing system errors were to blame, according to the regulator.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.