Regulation

The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.

The SEC also alleges the firm's founder invested clients' money through a fund that employed his wife without disclosing the conflict.

Regulators accused the investment technology firm of not disclosing fees that ate into clients' interest payments.

Americans over age 60 reportedly lose $28.3 billion each year to fraud. The problem may be even worse than advisors thought, a new study says.

Matthew Motil stands accused of raising more than $11 million by misleading investors about mortgage-backed promissory notes.

An SEC panel meets to question who should meet the criteria for putting money into complex and possibly risky investments.

Mutual funds will have to take extra care when using terms like ESG, value and growth.

GlennCap and its founder stood accused of directing the best investment returns to clients who paid the most.

The industry group wants the federal regulator to do more to take into account how proposed regulations are likely to affect the majority of wealth managers.

The SEC accused the firm of raising a sixth round of funding even though red flags were popping up left and right.