SEC

The popular trading app omitted information about its payment for order flow practice, the regulator says.

The regulation permits more exemptions from fiduciary duties, but may itself be replaced by the incoming Biden administration.

There are still plenty of challenges and potential changes on the horizon. Here’s what to watch for.

Fake name, phony credentials, Ponzi-like payments but real victims — this is what authorities are saying about this business.

Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.

Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.

What different outcomes could mean for financial planners and their clients.

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.

Complicating socially conscious investing is the fact the SEC doesn’t regulate how the category’s labeling is applied.

Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.

The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.

The Managed Funds Association urged the agency to do more analysis before moving forward.

The Justice Department filed two counts of wire fraud against the firm but agreed to defer prosecution under a three-year deal that requires the bank to report its remediation and compliance efforts to the government.

Actions hit a nine-year high and restitution climbed to the highest total since 2013 — even before the rule’s heightened scrutiny.