SEC

The fintech's new products may violate several banking and securities regulations, industry officials say.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

The product, which allows investors to purchase virtual currencies on their exchange, hits the market at a low point for bitcoin.

Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.

The banker involved in a case going before the justices is accused of misrepresenting the financial condition of a client.

James Polese and another advisor used the funds to pay bills and cover kids’ college tuition, according to the Department of Justice.

Chairman Jay Clayton said he remains worried that cryptocurrency can be too easily stolen or manipulated on exchanges.

A bear market in marijuana isn’t the only challenge for new funds tracking the cannabis industry.

Richard G. Cody, formerly of Boston Investment Partners, allowed his clients’ accounts to dwindle to almost nothing, according to the Justice Department.

Clients who buy and hold the products in their retirement accounts may get a nasty surprise, said one of the SEC’s five commissioners.

Why new rules won’t necessarily prevent bad behavior.

Like everything else on Wall Street, this dispute is about the bottom line.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.