SEC

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 Some applications were withdrawn.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.

Authorities say the now barred broker concealed his fraud through a variety of methods, including by creating falsified tax forms and lying to accountants.

Regulatory decisions, whistle-blower cases and acquisitions will define wealth management in 2018, and the people here will be the decision-makers who remake the industry.

Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.