SEC regulations

After more than a decade of opposition, the Securities and Exchange Commission has given the green light.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

The Securities and Exchange Commission approved new rules that would require entities to disclose material cybersecurity incidents.

There are important nuances to note in the relatively straightforward requirements of the rule.

SEC Chair Gary Gensler is worried about conflicts of interest in investment advice.

The Securities and Exchange Commission charged several investment advisors with combined penalties of $1 million for violating the Investment Advisors Act's Custody Rule.

Even if rules governing the new assets turn out to be at odds with those of firms, acting today will foster a compliance culture in a volatile financial services space.

Advisory firms are particularly vulnerable to data breaches, according to a recent Arizent survey, and proposed SEC rules mean they may no longer be able to react to cyberattacks with impunity.

The commission issued a 500-plus-page proposed rule Monday that would mandate corporate disclosure of greenhouse gas emissions.

The New York-based advisor is accused of defrauding at least 56 investors.