SEC

The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.

The Securities and Exchange Commission approved new rules that would require entities to disclose material cybersecurity incidents.

After the regulator's report raised questions about fairness to investors, PIABA is seeking new rules that would require advisory firms to make it easier to file complaints.

There are important nuances to note in the relatively straightforward requirements of the rule.

In one case, an ex-advisor is accused of defrauding clients with disabilities and spending their money on casinos and adult entertainment, among other things.

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

The new regulations are the latest attempt to ensure investors can't flee the funds in a panic during economic downturns.

An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.

A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.

The ex-financial advisors used clients' money on their businesses and other expenses like homes and travel, according to investigators.