SEC

The board is “decisively moving away” from allowing advisors to self-disclose, CEO Kevin Keller says.

As the industry pushed to comply with the fiduciary rule, new issues emerged.

The court has suggested that federal law bars awards from going further, blunting a legal tool that critics say the agency has abused.

The fund would provide broad-based exposure to four commodity sectors through futures contracts, according to the filing.

A Democratic-led SEC could revisit Reg BI, advocacy groups and industry observers say.

After the client died at age 98, the advisor allegedly moved on to bilk another elderly investor, authorities say.

Almost all of the decline reflects performance-related losses rather than client withdrawals, according to a person familiar with the matter.

The ETF aims to track companies specializing in remote-working, learning and entertainment.

The $4.9 billion fund has come under close scrutiny as crude’s rapid plunge forced it to quickly shift some of its giant positions on short notice.

Don’t expect significant changes anytime soon to longstanding complaints about conflicts of interest in the “issuer pay” model of the ratings business.

The $4.64 billion fund lost 75% of its value in two months.

Firms founded by Jason Wenk allegedly failed to oversee a former advisor accused of investing clients in unregistered securities.

The regulator was one of the first U.S. agencies to tell employees to stay home during the pandemic,

Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.

The firm allegedly provided some clients with misleading information about which charges they were actually paying for.

“This is all about having the flexibility and having multiple options for our investors,” says GSAM’s head of ETF strategy.

Standard General accused Tusk Strategies of “blanketing the media with false and misleading proxy materials” on behalf of a “secret client.”

Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.

XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.

A new fund from Pacer ETFs will track an index of companies offering products, technologies and services that are currently in high demand.