SEC regulations

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.

Even a well-intentioned compliance manual can draw the ire of regulators.

Rule supporters say they intend to continue making their case on Capitol Hill.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

Charles J. Dushek allegedly made trades without designating in advance whether he was trading personal money or client assets.

The former federal prosecutor is the president-elect's pick after vetting a handful of candidates, said a person with knowledge of the matter.

Ex-RIA Richard G. Cody gave false reports to retirees for more than a decade, the SEC says. Many lost most of their life savings.

The firm also asked for the suits filed in federal court to be thrown out.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

After more than three-and-a-half years at the helm, Mary Jo White made incremental moves to expand advisor exams, but did not move on structural reform or implement a uniform fiduciary standard, as many advocates had hoped.

Wirehouse system and supervisory failures are just the start.

The bank ignored fees on structured notes, and clients may have been shortchanged, a consultant says.

Digital advice clients "have affirmatively chosen not to enroll in comprehensive financial planning," according to a newly published white paper.

From recommending wrong share classes to cherry-picking allocations, these are the pitfalls advisers should avoid.

The regulator has filed a complaint against whistleblower Johnny Burris, who has filed multiple cases against one of its largest member firms, JPMorgan.

Bad behavior on the part of humans could open opportunities for artificial intelligence to act as risk management checks in financial firms.

Charles Augustus Banks called San Antonio Spurs player Tim Duncan's claims against him "naïve and immature" last year. Now the former RIA is under indictment by a federal grand jury and faces SEC charges.