SEC

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.

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

The manager expects the rule would remove some of the impediments faced by wannabe ETF issuers.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.

Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.