SEC

“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.

A close look at the seven letters Jay Clayton highlighted, and about two dozen others submitted to the SEC by supposedly regular people, shows they are the product of a misleading — and laughably clumsy — public relations campaign by corporate interests.

The fact that it’s impossible to track the amount of revenue sharing kickbacks demonstrates the problem, says the research firm’s lead policy wonk.

Clients overpaid more than $12 million because of operating flaws and coding failures in an automated device advisors relied on for executing mutual fund orders.

Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.

The SEC's recently passed ETF modernization rule is just one regulatory change industry leaders expect will impact asset management in the years ahead.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

The court is taking up a challenge to one of the agency’s most potent legal weapons.

The regulator was allegedly inquiring about whether incentives at an firm unit rewarded salespeople for pitching higher-cost products.

The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.

The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.