SEC

The no-nonsense CEO fields rapid-fire questions on everything from Amazon's interest in financial services to how the SEC is handling the fiduciary rule

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

The CFP Board’s new code of ethics should be celebrated for embracing the fiduciary concept — will the standards be strengthened even more in the future?

Overall, the advisor defrauded at least nine clients out of $1 million, which he used to pay for tuition and mortgage payments, federal prosecutors say.

The departure might slow SEC Chairman Jay Clayton’s progress on creating stricter standards of conduct for brokers and advisors.

The Ponzi-like scheme used investor funds to pay other investors’ debts and cover personal expenses.

One topic under alleged examination is the monthly process through which prices of the benchmark’s futures contracts are calculated.

With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.

The commission's frequently asked questions come six weeks ahead of the deadline to self-report placing clients in high-fee share classes.

Allegations of undisclosed private securities transactions by a former advisor followed two significant mutual fund cases involving the IBD network’s practices.

Leading trade groups counter a request from AARP and three states for fiduciary rehearing, in hopes that the circuit court's rejection will be the last word on the regulation.

Critics say SEC efforts to regulate advisor titles could produce a game of whack-a-mole, as non-fiduciary financial professionals adopt other terms intended to blur lines.

FPA leaders say they are sounding out members and looking at where the proposals may fall short of needed investor protections.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

The influential retiree advocacy group filed for a 17-judge review of the decision.

Whatever planners learned when they were trained for the job decades ago is most likely outdated.

Wall Street whistleblowers just got another reason to take their gripes directly to the SEC.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

The firm’s headcount declined slightly in the quarter, but advisors’ productivity remains strong and growing.

The regulator's proposal is set to remake compliance standards for brokers and advisors.