SEC

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

A former spiritual advisor to presidents George W. Bush and Barack Obama plans to turn himself in as his attorney vows innocence.

Though largely replaced by the 1% of AUM model, performance-based fee structures are cropping up again — and that’s cause for concern.

The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

Instead of harmonizing standards of client care across the industry, it may be better to re-differentiate them in light of the fiduciary rule's recent court loss.

Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.

Merrill Lynch, UBS and others made considerable alterations to policies and procedures in order to be compliant with the Labor Department regulation.

Even after a federal appeals court struck down the rule, more clashes over the regulation of sales versus advice are inevitable.

Industry insiders see the agency proceeding with its rule to harmonize standards for brokers and advisors.

The FBI has reportedly interviewed employees at the bank’s wealth management unit.

The Department of Labor has an incentive to defend its rule-making authority even though it is considering revisions to the regulation.

A federal court has struck down the rule and the industry’s top online advice executives are speaking out.

While some are mainstays, there are a few new ones to add to the list this year.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Focus turns to the SEC as it considers creating its own higher standard of client care.