SEC

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.

The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.

The market-making firm warns of costs and intrusions into investors' privacy.

A report from the Investments & Wealth Institute's journal explains the most important pending proposals from the SEC, the Labor Department and other regulators.

The agency is adding new financial reporting and accounting requirements for SPAC deals.

The deal would end an investigation into Morgan Stanley's employees' handling of stock sales big enough to move markets.

After more than a decade of opposition, the Securities and Exchange Commission has given the green light.

The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.

Crypto insiders expect the SEC to announce several key decisions on Jan. 10, which could determine the future of the proposed spot-backed ETF.