SEC

Several proposals have so far failed to pass the SEC's muster.

The trading app could go public late in the second quarter.

Free investment education and testing for risk tolerance are among the ways financial firms can better reach underserved consumers, former SEC chief Jay Clayton and Operation HOPE’s John Hope Bryant say.

As more people pile into the markets, it's crucial to foster financial literacy, write Christine Lazaro and Teresa Verges.

The veteran FAs’ one complaint blotted their records for seven years.

The funds are one of the largest forms of short-term debt vulnerable to investor runs in our financial system, writes former CFTC Chairman Timothy Massad.

Three recent criminal cases raise concerns that wealth managers and regulators aren’t detecting alleged fraud quickly enough or disclosing basic information about crimes and disciplinary problems.

The rare move to set aside the regulator’s ruling came more than a decade after the rep ran into trouble by adding notes about his client into a software program.

The investments can pose substantially more risks than typical initial public offerings.

The regulator will be stepping up scrutiny of advisors on this issue and others, including ESG and cybersecurity.