SEC

Audit volume is up but compliance issues are down — with cybersecurity as the wild card.

Andreessen Horowitz — one of the richest and most famous firms on Sand Hill Road — is giving up its VC designation.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.

Experts caution advisors to take document requests seriously. Also, it doesn't hurt to set a collaborative tone at the very beginning.

The presidential hopeful ups the pressure on FINRA and lays down another plank in a platform seen as hostile to Wall Street.

Under the firm's CEO, who is also its chief compliance officer, the alleged scheme continued undetected for seven years, the SEC says.

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.

The justices said bankers can be held liable for sending clients deceptive information written by others.

One tipster will get $37 million, the third-biggest ever for the agency's whistleblower program.

The regulator also faulted Merrill’s supervisory policies and procedures.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

The independent broker-dealer accidentally published a list of credits of its most lucrative advisors.

Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.

The ex-advisor and self-described "Money Doctor" solicited older clients on his radio shows, the regulator says.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

The RIA divisions of Raymond James and RBC are also among the companies that self-reported.

The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.

The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.