SEC

The penalties come three months after Merrill Lynch settled similar charges.

A group of 11 trade associations plan to ask the state’s securities regulator to reconsider its conduct proposal in light of action by the SEC last week.

There's a lot to navigate when it comes to assuring clients that the benefits outweigh the headaches.

The regulator disclosed a transformative rule change, sparking outrage among fiduciary advocates and some advisors.

But the new rules may be a boon for some fintech firms.

A Financial Action Task Force note on digital asset oversight is “one of the biggest threats to crypto today,” a research executive said.

The new rule package will require firms to take a hard look at their compliance programs.

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

With transparency about conflicts on the rise even as it varies by firm, critics question whether clients really understand complicated technical documents.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

Here are questions the agency has been asking.

It could be the most significant update to advisor standards of conduct in years.

“The general feeling is that progress is made every day, little by little,” an executive said of the crypto community’s optimism.

The delay does not “indicate that the commission has reached any conclusions,” the regulator said.

With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

Christopher Dougherty’s proferred investments allegedly included real estate properties and a 100-acre organic farm.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.