Regulatory actions and programs

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.

The regulator not only aims to stiffen penalties against bad actors, but also the firms that hire them.

The regulator accused the firm of collecting excess mutual fund fees by steering clients into more expensive share classes.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.

Regulators have revealed what kind of issues advisors must address if faced with a review.

The SEC could continue cracking down on brokers and advisers, but some see Clayton’s leadership taking a more business-friendly tack.

Three firms have fired the broker, whose former clients have won $494,000 in settlements.

Business groups looking for regulatory relief were quick to hail the Senate's confirmation of Jay Clayton, a veteran Wall Street lawyer.