SEC

The action against Atria Wealth Solutions’ Western International Securities offers a substantive hint on the future potential matters under the rule.

An order-by-auction system would be a significant change to the way retail trades are executed.

Asset management firms say the SEC can't regulate something it hasn't yet defined.

The regulator charged RiverSource with violating a provision of the Investment Company Act that’s never previously been part of an enforcement action.

The regulator's proposal for sweeping disclosure rules is not making the asset management industry happy.

Firms like Morgan Stanley, Goldman Sachs and Commonwealth have made changes under the rule, but the SEC is sending tough and vague messages.

In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.

With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.

Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.

Whether it's a watchdog or up-and-coming advisor, claims and counterclaims are plentiful across the industry.