SEC regulations

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.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

Uncertainty still surrounding the fiduciary rule is one reason why advisors say they are not committing to specific upgrades just yet.

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

Consultants are turning to technology as the SEC ramps up RIA exams.

The company’s survival may depend on a continuing security awareness training program.

Several of Dawn Bennett's clients suffered major investment losses, "with two losing $1 million and $17.6 million," according to the SEC.

Social media is included in regulatory requirements.

The proposed rule would require firms to have blueprints in place for natural disasters, cyber disruptions and transitioning clients if a practice winds down.

Meanwhile, the SEC hints that more actions could follow the $425 million in penalties levied against the brokerage firm.

The wirehouse was hit with sanctions from the SEC and FINRA for disregarding securities rules, misusing clients’ cash and not disclosing product costs.