SEC

It's the latest salvo against funds that don't live up to their green do-good claims.

The settlements pose an impact to the firms accused of neglecting their Form CRS, but not to giant wealth managers bracing for stronger enforcement.

The Synergy RIA Compliance Solutions founder shares how advisory practices can handle the most important regulatory tasks when going independent.

Securities and Exchange Commission Chair Gary Gensler doubled down on his calls for more oversight of cryptocurrency trading platforms on Wednesday, offering new insight into his priorities as he seeks to crack down on the digital coin industry. 

The XY Planning Network of fee-only advisors and investment advisor Michael Kitces say consumers are being deceived when brokers use labels like “wealth manager” and “financial advisor.”

Some funds touting their environmental and socially responsible investments may be exaggerating.

Carrie Tolstedt invoked her right to remain silent about allegations she misled bank customers.

Wall Street’s self-regulator says recent data show that only mid-sized and smaller firms would have fit its new “red flag” criteria.

The exchange will direct its listed companies to pursue board diversity, including at least one member who is female and at least one who is an underrepresented minority or LGBTQ.

Federal prosecutors alleged James K. Couture had reached an agreement to sell a home in Cape Cod before the proceeds could go toward restitution.

The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.

Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.

The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.

Here's what you missed this week in wealth management.

The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.

New questions are being raised about the brokerage’s practices with the Intelligent Portfolios product.

Former clients of Isaiah L. Goodman shared the financial losses and other harmful impact of the $2.3-million scheme.

The compliance inquiry relates to past disclosures around the Intelligent Portfolios product.

Robinhood revealed several new inquiries from state and federal watchdogs as it pushes ahead to sell shares in one of the year’s most anticipated IPOs.

The SEC alleged the company did not disclose its conflicts of interests related to mutual fund share classes, cash sweep arrangements, and no-transaction fee revenues, according to a recent SEC filing.