Regulation

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

Experts say these loans deserve a second look, partly because of a series of federal reforms in recent years.

The RIA divisions of Raymond James and RBC are also among the companies that self-reported.

The advisor and his alleged co-conspirators made $5 million in illicit profits off misappropriated information, according to prosecutors.

Even as BDs transition from their commission roots, too many still treat advice as a liability.

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

Michael Solomon oversaw a staff of 350 people at the regulator, according to his new employer.

The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.

Forty-seven investors, some over the age of 63, were among the victims.