Clients overpaid more than $12 million because of operating flaws and coding failures in an automated device advisors relied on for executing mutual fund orders.

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.

Buyout amounts are high right now, but there are many other factors to consider when guiding your client to the right choice.

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.

The SEC’s recently passed ETF modernization rule, which expands choice in the market, “is probably the end of the mutual fund industry.”

With tens of thousands of certificants affiliated with giant BDs, the documents required by the new standards are making their conflicts of interest plain as day.

The regulator was allegedly inquiring about whether incentives at an firm unit rewarded salespeople for pitching higher-cost products.

The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.

The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.

Payouts from pensions and tax-deferred accounts are usually not taxed in states without a state income tax or with levies only on interest and dividends.

Businesses, particularly small ones, are looking for help to limit liability when sponsoring defined contribution plans.

CEO Dan Arnold described the firm's multipronged strategy for further growth.