SEC

What led Louis Martin Blazer III to cooperate with federal prosecutors?

Recent criminal charges parallel another case brought by the SEC against the broker.

Louis Martin Blazer is a "cooperating witness" in the federal case targeting corruption in college basketball.

State examiners are finding more shortcomings. At the same time, advisors face bulked-up regulators probing more aspects of their practices.

Asset managers are still guessing how clean shares will fare under the new regulation.

While the SEC does its due diligence into the new European rules, some of the world’s largest money managers have started to make independent decisions.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

How to stay out of trouble if a customer praises your investing prowess on your site.

Staying current with where the regulation stands can be hard. Here's what advisors need to know now.

OCIE puts advisors on notice about widespread use of misleading claims and failures of disclosure.

SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.

When measured against a standard of care for best interest advice, digital wealth managers fall short, attorney Melanie Fein argues.

Public perception, the laboriousness of the rule-making process and other factors have acted as roadblocks to wholesale repealing the regulation.

Advocates call for the commission to address investor confusion.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.

The SEC's June 2016 settlement with Merrill Lynch was one of its biggest cases of the year by dollar amount.

The broker persuaded clients to write checks payable to him, the regulator claims.