SEC

The agency has long urged issuers to address risks and concerns associated with a potential crypto fund, including manipulation, liquidity and custody issues.

For many, the document is a significant source of confusion. Fortunately, one of the most persistent errors is easily correctable.

The settlement marks the bank’s largest yet from a series of scandals that claimed two chief executive officers.

The commission “failed to enact a meaningful conduct rule,” state regulator William Galvin says.

Edward E. Matthes allegedly renovated his home, paid child support and bought luxury items with client money.

The industry’s biggest firms have grown bigger and the smaller firms have found it harder to compete on their own, the regulator found.

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.