Compliance systems

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

Here are questions the agency has been asking.

When Redtail Technology moved into its new building 18 months ago, CEO Brian McLaughlin ensured it had homey touches, like comfortable seating, a basketball court and slides.

Advisors are increasingly buying tech to monitor information sharing between financial firm partners and tech vendors.

Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

Integration, scalability and service model are key to selecting a vendor.

Three burgeoning technology movements that might catch advisors by surprise.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

The regulator said "significant deficiencies" affected hundreds of millions of records.