The panel has had 13 public meetings since the Massachusetts senator’s last appearance, in May.

Those who fail to meet the cutoff face a hefty penalty that could hit as much as 25% of their dues.

The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.

Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.

The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.

Former retail brokerage head David Kowach is moving to the consumer bank.

The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.

The bank will pay $1.25 million for alleged supervisory failures.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

Advisors and their firms should be prepared for how they will respond to expanded fiduciary responsibilities under new standards.

The commission warns practices to tighten up supervision and ensure accurate disclosures.

The SEC’s 564-page rule shows the new disclosure could prove time-consuming, even vexing, for firms.

The bank has been slashing expenses, but executives acknowledged they remain high. Between having to hire thousands of compliance employees and waiting on the next CEO to be named, investments in new technology or other long-term growth are limited.

The group cited "confusion" among certified planners sparked by passage of the SEC's less-strict Regulation Best Interest.

Overall donations to charity organizations fell by 1.7%, while total individual giving decreased by 1.1%, the first drop since 2013.

Regulators are asking cannabis fund providers to produce third-party legal opinions verifying they don’t violate state or federal laws.

If passed, non-spouse heirs would be required to drain assets within 10 years after the owner’s death.

The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.

Critical comments about Wall Street in the first debates signal an unfriendly political environment. Here are some leading candidates’ financial policy views.