SEC enforcement

Ryan's selection may indicate an SEC aiming to resolve more violations by other means than enforcement actions, one lawyer said.

The SEC's $1.8B off-channel communications crackdown shows how paused protocols can lead to crisis.

The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.

After helping to lead a crackdown on the cryptocurrency industry and Wall Street's use of off-channel communications, Gurbir Grewal is leaving the SEC.

Van Eck Associates failed to share important details about the fund's planned fee structure with its board, according to the regulator.

Despite major pushback on various proposed regulations, the chair said he is focused on "getting it right."

The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.

The case in unusual because of Coinbase's high profile in the U.S. and status as a publicly traded company.

The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

Some funds touting their environmental and socially responsible investments may be exaggerating.

Carrie Tolstedt invoked her right to remain silent about allegations she misled bank customers.

A roundup of this week's news includes advisors on the move, new hires and SEC enforcement.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.

Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.

The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.

The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.

The firms agreed to censures, the settlement payments and to cease-and-desist orders tied to their alleged misconduct.

The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.