SEC

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

The SEC's guidance is a part of a much broader movement as the U.S. strives to catch up with Europe.

Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.

The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.

The ban comes after the Wall Street regulator's imposition of nearly $3 billion on fines for failing to track and record communications sent on messaging apps.

The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.

The Securities and Exchange Commission has temporarily stayed its climate-related disclosure rule amid a rash of lawsuits.

Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.

The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.

A federal judge has signed off on the bankrupt crypto firm Genesis Global Capital's settlement with the Securities and Exchange Commission over allegations a digital-asset lending program it helped run violated the agency's rules.

Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.

A federal court has temporarily halted the Securities and Exchange Commission's climate-related disclosure rule in response to a lawsuit from a pair of fracking companies.

One of the largest independent wealth management firms faces a big potential SEC judgment in a case that sheds light on industry revenue-sharing practices.

A divided Securities and Exchange Commission approved a new rule to require companies to provide climate-related disclosures, but scaled back the original proposal.

A tax efficient fund model, applied to new share class structures, awaits SEC approval.

Industry lawyers say the case shows that "half disclosures" of brokers' conflicts of interest won't be enough for regulators.

Crafting and administering an effective RIA compliance policy is hard but essential for firms that seek to avoid fines and reputational damage.

Van Eck Associates failed to share important details about the fund's planned fee structure with its board, according to the regulator.

Despite major pushback on various proposed regulations, the chair said he is focused on "getting it right."

The proposal comes as regulators say they've seen a fourfold increase in suspicious activity tied to RIAs.