Mary Jo White

Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.

Co-chiefs of the SEC’s Division of Enforcement tout a program aimed at repaying investors for excessive mutual fund fees as a new approach to curbing industry abuses.

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.

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

The prominent Wall Street lawyer makes a strong argument to skeptical lawmakers that he will be a tough cop on the beat if confirmed.

The regulator was operating with three of five commissioners before Chairwoman Mary Jo White left.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

After more than three-and-a-half years at the helm, Mary Jo White made incremental moves to expand advisor exams, but did not move on structural reform or implement a uniform fiduciary standard, as many advocates had hoped.

The legal heads of both firms challenge arguments made against the ability of robo advisers to serve their clients.

While it’s early in the process, a number of names are being floated as possible contenders.

The commission will examine how digital advice platforms uphold fiduciary responsibilities and safeguard client data.

The request foreshadows how the senator will attempt to influence the next president's cabinet and other key nominations.

More than a quarter of enforcement cases the commission brought in the just-ended 2016 fiscal year targeted planners and investment companies.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.

Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

The proposed rule would require firms to have blueprints in place for natural disasters, cyber disruptions and transitioning clients if a practice winds down.

In contentious Senate testimony, White fended off accusations that the regulatory body has dragged its feet. Again, she did not offer a timeline for implementing a fiduciary rule from the SEC.