SEC

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.

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.