SEC

The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.

Make sure not to confuse it with the SEC’s self-reporting program.

The departure is likely to give the Republicans a stronger majority at least for a short time.

The SEC examined approximately 2,180 RIAs in 2019.

The SEC-approved ETF strategy protects “the intellectual alpha of active managers.”

Asset managers stand to gain from an SEC-approved ETF structure since “selection of securities is the intellectual property for which they are paid fees.”

SEC-mandated disclosures for dual registrants could put clients off brokerage options, some suggest.

From closed-end funds to Reg BI, here's what could be playing out this year.

The advisor was charged with overbilling clients by hundreds of thousand of dollars and diverting millions from the company’s payroll to his own account.

In the 1960s, iconoclastic reformers started a campaign to kill fixed brokerage fees. Today, we’re witnessing the logical culmination of that effort.

“I want to give a huge thank you to my clients” for feeding local families, Keith Springer blogged the same day the SEC filed its complaint.

Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.

Now, armed with data from the rule’s rollout in Europe, asset managers in the U.S. have a better sense of each analysts’ worth — fairly or not.

While these 20 dizzying changes will throw some for a loop, financial advisors and their clients grow more powerful each year.

One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.

The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.

Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.

The four new types of funds use a so-called proxy basket and will publish some information about their portfolios every day.

A former rep has drawn at least 30 claims after pleading guilty to fraud, while clients of another ex-LPL advisor are seeking damages five years after his initial arrest.

SEC Commissioner Robert Jackson Jr. said his office studied 15 years of data to assess how the firms utilized their power on hundreds of proposals.