Regulation

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

Firms fined for misleading statements about products and performance — a possible sign that the commission is increasing its surveillance of digital investment platforms.

Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The regulator laid out detailed guidelines for how planners should be communicating with clients electronically.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

Robinhood Financial has rebranded its service, deleted tweets about its launch and scrubbed the page from its website.