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An order-by-auction system would be a significant change to the way retail trades are executed.
June 8
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The regulator gave the firm credit for “extraordinary cooperation” despite alleging that its system failed for six years to the tune of more than $13 million.
June 6
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Asset management firms say the SEC can't regulate something it hasn't yet defined.
June 1
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Shoring up fiduciary obligations under ERISA would be a much-needed protection for investors.
May 31
Securities Arbitration Clinic at the Law School of St. John's University -
The regulator charged RiverSource with violating a provision of the Investment Company Act that’s never previously been part of an enforcement action.
May 26
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The regulator's proposal for sweeping disclosure rules is not making the asset management industry happy.
May 26
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Firms like Morgan Stanley, Goldman Sachs and Commonwealth have made changes under the rule, but the SEC is sending tough and vague messages.
May 19
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In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.
May 18
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More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.
May 18
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With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.
May 17
