The agency published answers to four questions about Form CRS.
Unregistered Brett Pittsenbargar sold $18 million of fraudulent paper to at least 45 investors.
The agency, concerned about consumer protection, says clients need a baseline understanding of product risk
Critics say the proposal falls well short of what is needed to address unpaid arbitration awards.
Some stakeholders say the disclosure proposal is still paper-centric and should take into account newer technologies.
Agency said Conrad Coggeshall raised $700,000 from four investors that he claimed was going to be invested in an M&A firm.
Toni Caiazzo Neff says she has been followed, had car tampered with.
Samuel DelPresto and his MLF Group ran 'pump-and-dump' microcap scheme
Vereit Inc. agreement follows $1 billion litigation settlement in September
Rulemaking agenda includes items on accredited investor definition, exempt offerings
Agency obtains temporary restraining order against Neil Burkholz and Frank Bianco.
Critics still worry that cybercriminals will be able to hack system
Revenue sharing is an opaque practice that may require additional attention from broker-dealers as the SEC rule takes effect, Morningstar warns.
Bipartisan measure would establish 14-year statute of limitations, countering recent high court decision that set a five-year limit on recouping losses.
The SEC plans to approve active nontransparent ETFs from T. Rowe Price, Natixis, Fidelity and Blue Tractor
Leveraging key technologies can ensure that clients' interests are protected.
Cases bring focus to protection of retail investors, including crackdown on expensive share classes.
The changes should allow advisory firms to make better use of social media.
SEC says the firm's share-class selection calculator was inadequately tested and validated.
Critic says latest iteration falls short of true best-interest standard set by New York
