The regulator is giving firms more flexibility in supervising employees working remotely and in relocating personnel to temporary locations.

Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.

Restoring fee-model disclosures to its website is just the first step in correcting the organization’s “monumental failure,” according to fiduciary watchdog Ron Rhoades.

The decision does not diminish the board's conviction that consumers have a right to know how they are paying for products and services, writes the former board chairwoman.

"If rules are too broad or vague, we may end up circumscribing conduct that we never intended to capture,” Commissioner Allison Herren Lee said.

“The only reason why I could see them doing that is shame,” one critic says of the move; the board calls it an important shift in the conversation about fiduciary care.

In an hour-long session, justices considered the agency's use of “disgorgement” to collect money from someone the commission sues in federal court.

Five years of alleged promises, checks that never arrived, and a mysterious employee named “Tryg Nederloe” add up to a bizarre saga with wide ramifications.

A Supreme Court ruling could eviscerate one of the agency’s most potent weapons.

That would be a big “no,” in most cases, according to FINRA, but gives rise to another question…

The bank failed to implement its own supervisory procedures around single-inverse ETFs, costing clients millions, the SEC says.

The major custodian lost its second arbitration case — with even more filings likely — over the services it provided to a brokerage later proved to be engaged in massive fraud.

Two years after the tax law eliminated write-offs for investment costs and advice, lawyers say they have found a loophole hidden in years-old IRS case law.

The agency will send several dozens agents to make at least 800 face-to-face visits in February and March of this year.

For many, the document is a significant source of confusion. Fortunately, one of the most persistent errors is easily correctable.

The commission “failed to enact a meaningful conduct rule,” state regulator William Galvin says.

Undisclosed payments from alt managers should have been explained to clients in Form ADV, the regulator says.

The wealth manager claimed bank management knew a customer had a history of sexual harassment, but allowed him to continue doing business at the branch anyway.

The sweeping retirement legislation, called the Secure Act, is gaining plenty of headlines. One revision is being overlooked.

They are advised to consider making amendments if they want to take advantage of temporary tax provisions that Congress extended retroactively in December.