Regulation

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

When an adviser’s Spidey sense tingles, there’s usually a good reason, Kimberly Foss says.

The deputy director of the agency's examinations unit, however, cautions that any such effort must be carefully coordinated.

The Northern Lights funds exclude companies that clash with their religious wrappers.

Use this as an opportunity to target potential clients and address specific niches.

Morgan Stanley is in “advanced discussions” with the IRS to resolve any client tax underpayments, according to an SEC filing.

If employees are not properly trained, no amount of spending can prevent a breach, according to cybersecurity expert Jonathan Hard.

Andy Sieg, head of the firm, says that "operational changes" are possible if the rule is delayed or overturned.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

The latest developments make columnist Bob Veres wonder whether he has fallen through a wormhole.