Regulation

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.

State regulators discovered fewer deficiencies with investment advisors but some say they could be doing more to protect vulnerable clients.

The advisors were all charged with advertising hypothetical performance results without taking into account the particular needs of their audiences.

The changes come in response to questions that arose over the previous removal of a member from one of the regulator's three-person arbitration panels.

The Wall Street watchdog looks for factors like repeat violations and staff members with a history of disciplinary troubles.

The fees will vary depending on whether they're assessed on equities, options or over-the-counter equities.

The regulator accused a broker-dealer of not having proper supervisory procedures to prevent $533,500 in excessive transactions.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.

The move disappointed advocates just days after a court ruling viewed by many as clearing a path for the long-awaited product.