SEC

Over a nine-year period, he allegedly defrauded clients of more than $2.1 million.

The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.

The first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.

IFS has notified regulators about the alleged illegal trades, which sources say cost the firm more than $10 million.

The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.

Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

The asset manager said it’s seeking a head of ETF capital markets in a post on LinkedIn.

The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.

The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.

The once high-profile RIA owner ran a $20 million Ponzi scheme, federal prosecutors said.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

Advisors and their firms should be prepared for how they will respond to expanded fiduciary responsibilities under new standards.

While bond investor anxiety previously focused on how the funds respond to abrupt withdrawals, skeptics are now homing in on secondary trading.

The commission warns practices to tighten up supervision and ensure accurate disclosures.

AR Capital, Schorsch and former CFO Brian Block allegedly raked in millions through inflating fees in REIT mergers.