SEC

Technology costs money and takes time, but the benefits are well worth it, Nina O’Neal writes.

Bradley Mascho helped Bennett defraud at least 46 investors, including many seniors, the regulator charges.

He intercepted checks from her home when she wasn’t there and forged her signature to steal her money, investigators say.

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

After building an empire on passive funds, the world’s largest asset manager is readying a suite of actively managed funds.

Some fund managers specializing in distressed debt smell an opportunity.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

"Data analytics is critical," says FINRA's chief risk officer.

Nov. 13: Planners behind the curve may lose out on productivity and quality of service offered to clients.

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.

The new database is a good first step in helping to address gaps in the oversight of advisors, but more needs to be done, say industry observers.

“People need to know what the rules are,” an industry consultant says.

The department's proposal furthers efforts to undo the controversial regulation.

With the compliance deadline nearing, regulators have yet to make key decisions on dark pools, rules clashes with foreign markets and data collection.