SEC regulations

As wealth managers collect more client information, it is up to advisors to understand the value of data to the business and how it needs to be handled.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

A record number of fund openings and closures were reported last year. What does this mean for the future of the industry?

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The fintech's new products may violate several banking and securities regulations, industry officials say.

The fintech did not contact the Securities Investor Protection Corporation to discuss protection for deposits, according to its CEO Stephen Harbeck.

The product, which allows investors to purchase virtual currencies on their exchange, hits the market at a low point for bitcoin.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.

Chairman Jay Clayton said he remains worried that cryptocurrency can be too easily stolen or manipulated on exchanges.

Richard G. Cody, formerly of Boston Investment Partners, allowed his clients’ accounts to dwindle to almost nothing, according to the Justice Department.

Concerns include preparing for SEC reporting rules and modernizing operational infrastructure to address evolving markets.

Concerns include preparing for new SEC reporting rules and modernizing operational infrastructure.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

Can FINRA suspend the advisor’s license?

Companies that haven’t released financial reports for extended periods of time are expected to be put under the microscope.

The firm is the first to be censured for violating the Identify Theft Red Flags rule.

Two of the league's top lifetime earners, Tim Duncan, and now Kevin Garnett, say Banks collectively stole more than $100 million.

The IBD’s advisors did not understand investments they sold to clients, the SEC says.

The firm allegedly encouraged clients to use an affiliated investment advisor, and benefitted from the fees it charged them.