Acting Chairman Michael Piwowar calls accredited investor threshold an "artificial distinction" that perversely can hurt the smaller investors it's designed to protect.

Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.

“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”

In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.

Banks and credit unions scramble to adjust their product choices with a significant 40% of those surveyed developing separate menus for retirement and retail accounts.

Just in case clients are looking to cut few corners, here are some of the most common tax frauds that the agency is ready to pounce upon.

Avoiding the pitfalls of managing client finances can be challenging. Here's how some advisers fared — some successfully, others not so much.

A Senate bill would provide liability protections for advisors who report suspected abuse of senior clients.

Such wagers can only be settled in Bitcoin, on the BitMEX, which offers the ability to trade certain cryptocurrency derivatives with "up to 100x leverage."

Investors snapped up the metal as a store of value amid concern that the president's fiscal policies will bloat government debt.

Even a well-intentioned compliance manual can draw the ire of regulators.

The rule’s outlook seems uncertain, but a strong undercurrent is carrying the industry along.

The SEC released a letter outlining where the most common deficiencies occur.

An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.

The fast-food executive withdrew amid controversy over his personal life.

The broker was terminated after a series of unauthorized transactions involving the accounts of customers of both BBVA and its affiliate bank, FINRA claimed.

Reflecting industry concern with Department of Labor rule requirements, the firm dubbed the platform as a "One-Click Fiduciary."

In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.

The regulator rebuked the broker for excessive trading that generated more than $666,000 in commissions and fees and resulted in $397,000 in losses.

SEC staff recommended this solution as far back as 2011.