SEC

With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

Massachusetts is probing whether the firm's wealth management unit steered clients toward inappropriate investments and high-cost accounts.

The commission is visiting far more advisors than just two years ago.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

The Senator wants to know what the SEC is doing to prevent harassment at banks.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

The scrutiny puts a spotlight on a small corner of the $3.4 trillion ETF industry.

"I think it's something that the market needs. I think it's something that regulators need," Jay Clayton says.

Advisor "reaped substantial profits" from 65 clients by using block accounts, the regulator says.

Planners must make accurate disclosures about their service models, says the regulator.

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.

Thomas Buck spent 33 years with Merrill Lynch before he was fired in 2015.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.

The proliferation of esoteric funds not easily understood by retail investors has created greater potential for damage.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.