SEC

The SEC’s 564-page rule shows the new disclosure could prove time-consuming, even vexing, for firms.

The group cited "confusion" among certified planners sparked by passage of the SEC's less-strict Regulation Best Interest.

Regulators are asking cannabis fund providers to produce third-party legal opinions verifying they don’t violate state or federal laws.

A new report asks whether the products have the potential to spark another crisis despite being created at the urging of the SEC to reduce risk.

The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

Dennis Gibb used client funds to pay for his own business and personal expenses, such as mortgage and car payments.

The custodial bank says it has reimbursed the affected clients with interest.

Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.

Many relatively straightforward products have boosted their holdings of lower-rated bonds and emerging markets to juice returns.

“We are not delaying and we are not changing the standard,” Chairwoman Susan John says of pressure to weaken the board’s tougher guidelines in line with the SEC’s Reg BI.

It's the first significant regulatory filing requirement for RIAs in more than a decade.

Lucas Moskowitz's job put him at the center of much of the agency’s business, including policymaking and enforcement actions.

Think New Jersey’s proposed rule doesn’t apply to you? Think again.

The SEC predictably came up with regulations that can only be described as a win for brokers.

The SEC clarifies what's permissible under the new regulations, the latest sign of the confusion it created in the advisory industry.

Think social media and T-shirts: RIAs should swap “fee only” for “commission free” to draw a stark contrast between themselves and brokers, experts say.

Opening the door to retail money comes with risks, including the danger of exposing financial neophytes with relatively limited savings to complex investments.