SEC

The inquiry into Wells Fargo comes at a time when clients can often secure much better rates of return through money markets and certificates of deposit.

A potential regulation called the "retirement security rule" is already facing pushback. Here are the first reactions across the industry in favor and against it.

A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.

Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.

The firm's bottom line took a one-time hit from legal expenses even as it recruited advisors and added to its assets.

Thomas Brenner joins his accomplices Perry 'King Perry' Santillo and Christopher Parris in receiving prison sentences for defrauding investors.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

Regulators are likley to enter into dialogue with industry about the best way to proceed.

Firms and industry groups warn that the regulator's proposal for reining in robo-advisors and sophisticated investing algorithms would step on their fiduciary duties and Regulation Best Interest.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.

Former SEC lawyers say regulators are now likely going through their cases and deciding which are emergencies worth pursuing even if the agency's staffing is severely reduced.

Reuters reports that federal regulators have brokered deals with two dozen firms.

The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.

The SEC also alleges the firm's founder invested clients' money through a fund that employed his wife without disclosing the conflict.

Regulators accused the investment technology firm of not disclosing fees that ate into clients' interest payments.

Matthew Motil stands accused of raising more than $11 million by misleading investors about mortgage-backed promissory notes.

An SEC panel meets to question who should meet the criteria for putting money into complex and possibly risky investments.