SEC

Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.

More than half of advisors would consider buying a smart beta muni bond ETF for clients, according to a Columbia Threadneedle poll.

Piwowar was appointed to the SEC by President Obama in 2013.

An advisor kept working with clients, and impersonated others on phone calls with Schwab, the SEC says.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.

The policy had been under review after a federal appeals court vacated the fiduciary rule earlier this year.

The brokerage firm is holding off on making major changes while regulatory frameworks shift once again.

The Biltmore Capital fund was dissolved at an almost total loss, but not before Caleb Overton raised $2.2 million from 10 investors.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

The proposals failed to show how exchanges would “prevent fraudulent and manipulative acts and practices," the commission said.

The firm "deprived its clients of unbiased financial advice," the regulator says.

Here's what I've realized since I penned my original missive to the commission.

Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.

The SEC, wary of bringing crypto to the masses, postponed a decision last week from VanEck and SolidX and rejected a proposal from the Winklevoss twins.

The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.

State Street and Goldman Sachs are planning a series of funds that would invest in everything from robotics to deep-sea exploration.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

The IBD network disclosed the renewal of its clearing agreement, along with three firms’ intention to self-report possible mutual fund violations to the SEC.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.