SEC

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.

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.