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.