SEC

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Whatever planners learned when they were trained for the job decades ago is most likely outdated.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

The advisor fooled her victims into thinking she would invest their funds when in fact she used the money to buy luxury items and real estate, prosecutors claim.

By requiring brokers to look out for clients’ best interests, the SEC is effectively requiring them to give financial advice, which distinguishes them from online brokers and should let them keep charging clients premium fees.

An unregistered advisor with little investing experience raised $1.4 million from family and friends and then squandered the money on bad investments, federal prosecutors say.

Jamie Price doesn’t expect the firm's advisors to have any problem with a new standard after taking steps to comply with the more restrictive DOL rule.