SEC

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.

Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.

Thomas Buck misled clients in order to charge them excessive commissions, according to federal prosecutors.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

The former broker bilked more than a dozen former clients over an eight-year period, prosecutors said.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Former SEC economists faulted the regualtor for what they called “weak and incomplete” economic analysis.

A new consumer financial protection bill would expand duties for brokers and insurance providers.

The proposal from CBOE Global Markets, if passed, would have been the industry’s first-of-its-kind.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.