SEC

Van Eck Associates failed to share important details about the fund's planned fee structure with its board, according to the regulator.

Despite major pushback on various proposed regulations, the chair said he is focused on "getting it right."

The proposal comes as regulators say they've seen a fourfold increase in suspicious activity tied to RIAs.

The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.

The market-making firm warns of costs and intrusions into investors' privacy.

A report from the Investments & Wealth Institute's journal explains the most important pending proposals from the SEC, the Labor Department and other regulators.

The agency is adding new financial reporting and accounting requirements for SPAC deals.

The deal would end an investigation into Morgan Stanley's employees' handling of stock sales big enough to move markets.

After more than a decade of opposition, the Securities and Exchange Commission has given the green light.

The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.