SEC

Industry leaders see an opportunity to reshape debates that determine wealth management's future.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

Some guidance is in order to make sure encountering the revised SEC document for the first time goes smoothly.

The firm’s former COO is accused of destroying a copy of the culture report.

Investigators say the broker spent his clients’ money on luxury cars and home improvements.

The fund will track an index based on a Human Rights Campaign Foundation gauge of corporate equality.

The legislation, opposed by most major asset managers, would repeal a requirement that the riskiest funds allow share value fluctuations.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

Liquidity and valuation are the regulator’s key areas of concern.

The regulator outlined the top priorities for 2018 examinations.

New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.

The first pure-play pot ETF in the U.S. expanded 13-fold in five trading days.

How advisors deal with grievances and arbitration can make or break a career.

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

The scheme ensnared about 8,400 investors, the regulator says.

More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.