Regulation

James Booth’s seven-year fraud bilked investors out of nearly $5 million.

Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.

Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.