California, New York, Oregon ask for rehearing by full 5th Circuit Court of Appeals.
Regulator brought fewer actions in fiscal 2017, but touts a record $1 billion being returned to harmed investors.
A footnote in regulator's settlement letter to Fifth Third outlines factors affecting the size of the fine.
New regulation requiring brokers to disclose their markup or markdown on corporate and municipal bonds goes into effect today.
Commissioner says agency's past 'broken windows' philosophy put undue pressure to keep pushing up the number of enforcement actions.
Iowa insurance regulator asserts the current rule is protecting investors and worries that the SEC is defining 'best interest' differently than what it means under state law.
The proposal package, filled with questions, is likely to generate hundreds of letters.
Organization succeeds in removing provision from Louisiana legislation.
Commissioner set to leave agency July 7, about a month before proposal's comment deadline hits.
Agency says advisers must make good-faith compliance efforts to rely on exemptions
