Regulatory actions and programs

An open question is how the latest effort by the agency would coordinate with the Department of Labor.

The investor received 15 months in prison after pleading guilty to wire fraud.

The pro athlete met the adviser through his college business professor, authorities say.

The rep refused to provide the regulator with the documents it requested to investigate the allegations that he stole money from an elderly couple.

With the rule's implementation date around the corner, here’s what wealth managers should focus on in coming weeks and months.

Labor Secretary Alexander Acosta may have left a little wiggle room for future revisions.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

Robert Cook detailed his multi-year overhaul aimed at easing compliance, revisiting old rules and rooting out bad actors.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

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.