SEC

Alongside other firms recently disclosing major regulatory cases, the Swiss bank is cooperating with an investigation by the SEC and CFTC.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.

Enforcement Director Gurbir Grewal said the answer to the question of whether the rule has changed anything “remains to be seen.”

‘Equi-vest’ account statements sent to a million public school teachers and other 403(b) and 457(b) clients were missing nearly all of the expenses, the regulator says.

Regulators are reportedly charging Morgan Stanley and four other firms a collective $1 billion over their employees' use of unauthorized messaging apps.

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

Wall Street’s regulator is following the recommendations of a little-noticed government watchdog report last year. But it refuses to share the full findings.

The investment group accuses the regulator of “failing to apply consistent treatment to similar investment vehicles.”

Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.

The agency is continuing its focus on firms that have never been examined, including recently formed ones.

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.