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.

From BlackRock CEO Larry Fink to author Michael Lewis, here are the most thought-provoking remarks made at the asset manager's annual conference.

The Labor Department's own rule-making process may be presenting hurdles to completely rescinding the regulation.

The rep argued that the money she received was not a loan but rather the proceeds from the sale of her tractor to the customer.

The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.

The adviser allowed her disabled sister to die of untreated bedsores, according to the D.A. It’s the first known such case involving a CFP, says the CFP Board.

The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.

The rep was suspended for 15 months and fined $15,000 for engaging in the purported scheme and accepting a $50,000 cash gift from a customer, FINRA claimed.

One brokerage executive likens the situation to changing the rules of a football game after the teams are already on the field.