Regulation

Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.

The hiring marks Charlie Scharf’s first major leadership appointment since he took over the embattled bank last month.

The SEC's recently passed ETF modernization rule is just one regulatory change industry leaders expect will impact asset management in the years ahead.

Bruce K. Lee left the brokerage world where cheating on continuing education requirements can be a "career killer."

As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.

An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.

While technology has expanded the toolkit for advisors, some still struggle to differentiate their offerings.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

The changes follow the firm’s recent move to cut some client fees on separately managed accounts.

The court is taking up a challenge to one of the agency’s most potent legal weapons.