SEC

During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.

Such changes can occur without new rulemaking, agree fiduciary advocates and ex-regulators at an Institute for the Fiduciary Standard press conference

The SEC has tweaked certain accounting rules and is considering doing more.

The case against Centaurus Financial comes after the industry and consumer advocates decried the previous administration’s approach for different reasons.

The agency is headed back to the drawing board with its proposed revision of how brokers get complaints removed from their record.

The barred ex-rep funneled clients’ money into a shell company he falsely called a sub advisor, according to investigators.

The barred ex-Mutual of Omaha rep stole from 27 mostly older fellow members of his church, YMCA and local business organizations, investigators say.

Advisors with disciplinary histories who keep other registrations after leaving FINRA BrokerCheck are much more likely to commit infractions, researchers say.

After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.

Although they praise certain changes in a rule up for SEC approval, client attorneys and researchers say the process has further flaws.

The giant retirement plan recordkeeper’s BD didn’t adequately file suspicious activity reports for more than three years, according to investigators.

Having a regulator appoint an auditor would deal with the conflicts once and for all, writes Chris Hughes.

Early comments from Chairman Gary Gensler have thrown cold water on speculation that the regulator would quickly approve a crypto fund.

In releasing their annual snapshot, state securities agency officials pledged to provide clarity around the compliance headache for small practices.

Peggy Ho built the rival firm’s government relations team, and she’s joining the new firm at a pivotal time in wealth management regulation.

Advocates hope the Labor Department's first clarification on the Trump-era advice rule is the beginning of a series of steps to improve advice standards.

More investors can now invest in private capital markets thanks to an SEC amendment that broadens criteria beyond wealth and income, writes Sophia Duffy.

While efforts to recover cash through litigation have repaid nearly 70% of valid claims, hundreds say they have been victimized a second time by that system.

The former CFTC chair is expected to face intense pressure from progressive Democrats in his new role, many of whom want him to promptly toughen oversight.

The police, FBI, SEC and IRS, among other agencies, have been trying to track ex-advisor Chris Burns for months, to no avail.