SEC

The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.

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.

The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.

The plaintiffs plan to argue the current system deprives them of their right to a jury trial in cases involving securities allegations.

The widely varying disclosures at some of the largest companies display how the common brokerage industry conflict of interest generates a fortune for them each year.

The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.

More than 60% of registered investment advisory firms force complaints into forums that cost more and may give them fewer rights than FINRA, the regulator said.

The panel's recommendation would also seek comments on the possibility of outsourcing some review functions to third-party firms.

The Investment Adviser Association contends federal regulators have not taken into account the likely onerous cumulative effects of their proposals on cybersecurity, outsourcing and data security.

INVEST 2023 panelists and the latest SEC risk alert suggest the regulator will treat the rule much like one that has cost big Wall Street firms more than $2 billion in fines.

SEC Chair Gary Gensler is worried about conflicts of interest in investment advice.