SEC enforcement

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.

He intercepted checks from her home when she wasn’t there and forged her signature to steal her money, investigators say.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.