SEC enforcement

Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.

The advisor had been previously arrested at the airport prior to boarding a flight.

Senior officials are growing wary of how firms are trying to recoup revenue amid the "race to zero" commissions.

Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.

In an hour-long session, justices considered the agency's use of “disgorgement” to collect money from someone the commission sues in federal court.

A Supreme Court ruling could eviscerate one of the agency’s most potent weapons.

Undisclosed payments from alt managers should have been explained to clients in Form ADV, the regulator says.

The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.

Make sure not to confuse it with the SEC’s self-reporting program.

The advisor was charged with overbilling clients by hundreds of thousand of dollars and diverting millions from the company’s payroll to his own account.