SEC regulations

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.

Are you using a robo adviser with clients? Be prepared to understand the inner workings of your digital tools, says Hardeep Walia, CEO of Motif Investing.

Commission staffers are probing how broker-dealers are handling ETFs and the extent to which investors understand the risks of the funds.

The Massachusetts-based planner, who allegedly told clients their money would be invested in a hedge fund, was also ordered to pay $1.89 million to victims.

Investment professionals foresaw the greatest risks in flawed algorithms, according to a global survey.

The debate has spread far beyond planners and regulators, suggesting to some that public consciousness, and widespread change, might be on the rise.