The agency is likely collecting data to shape a proposed rule on investment selection
Pandemic conditions make acting in clients’ interests even more important, Jay Clayton says
The SEC filed a parallel civil complaint against Frederick M. Stow for stealing nearly $1 million
Rhode Island, Oklahoma advisers join SEC-registered advisers in meeting June 30 deadline
New floor of about $8,300 is meant to end the ‘$1 trick’ for brokers seeking quick clearing of records
The pandemic has pushed trade associations to virtual meetings to make their case with lawmakers
The self-regulator used $39.5 million in fines plus another $31.6 million from reserves for the initiatives
The brokerage reimbursed customers a year ago, earning a break on sanctions for cooperation
Investor advocates warn high-risk, high-fee investments could harm savers
After being stalled for months, the proposal has finally advanced and could be heading toward public release
