The SEC chair talks about the outlook for implementing the rest of his regulatory agenda.
The firm will settle claims with two US regulators that it failed to feed information on trades into market surveillance systems.
Disclosure failures at the organization’s broker-dealer arm led to nearly $1 million in unnecessary costs for retail customers in IRAs.
While the SEC doesn't name the influencer, Dave Portnoy, founder of the website Barstool Sports, partnered with VanEck during the fund's launch.
Democrats at a House hearing say the retirement rule will ensure workers, retirees and retirement plan sponsors receive advice that is in their best interest.
While the consent order has been lifted, Wells Fargo still has a cap on its growth imposed by the Federal Reserve.
'A lawyer may tell an advisor like this, there's no upside in responding to Finra, just leave the industry,' says a senior brokerage executive.
Broker-dealer self-regulator finds pattern of gross supervisory failure involving municipal securities over a five-year period.
Should advisors receive a cash prize for catching potential money launderers?
The SEC chair warned companies against 'AI washing' when they talk to investors about their use of the technology.
The DOL unit closed nearly 200 criminal investigations and recovered more than $840 million through formal enforcement actions.
The disgraced advisor fleeced more than 400 investors in a fraudulent 'private equity' fund over a 13-year period.
While the CFP Board supports the proposal, the FPA has expressed concerns about the DOL rule potentially raising compliance costs for members, increasing the cost of advice and reducing access to advice for some.
'I’d love to see the [full] SALT deduction come back but not if it means rates go up,' one advisor says.
Funds will be required to share more information with regulators.
EBSA found that the third-party administrator embezzled at least $5.5 million in retirement plan assets.
The industry faces scrutiny over high use of energy to mine cryptocurrency.
Deborah Adeimy claimed firm blocked her from running in GOP primary, aide says 'we're unclear how award figure was calculated.'
Since the auto IRA was proposed 18 years ago, the only successful efforts have been in the states.
It’s more likely the GOP will make a point about their frustrations with the SEC than actually get the bill through the Democratic-controlled Senate.
