Regulation

Summit Brokerage Services wasn’t feeding the notifications into the transactions blotter while its ownership went into flux, according to the regulator.

Should the board use 1% of its budget for its own oversight? A former board chairman responds to this proposal.

The custodial bank says it has reimbursed the affected clients with interest.

Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.

Many relatively straightforward products have boosted their holdings of lower-rated bonds and emerging markets to juice returns.

Robert Cook’s pay far outshines that of other SRO chiefs.

“We are not delaying and we are not changing the standard,” Chairwoman Susan John says of pressure to weaken the board’s tougher guidelines in line with the SEC’s Reg BI.

It's the first significant regulatory filing requirement for RIAs in more than a decade.

A PKS rep allegedly sold $190 million worth of non-traded REITs and BDCs without disclosing the commissions.

Lucas Moskowitz's job put him at the center of much of the agency’s business, including policymaking and enforcement actions.