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Jay Clayton says SEC will collect only limited information about investors in new market surveillance initiative
Critics still worry that cybercriminals will be able to hack system
Mutual fund conflicts pose issues for brokers under Reg BI
Revenue sharing is an opaque practice that may require additional attention from broker-dealers as the SEC rule takes effect, Morningstar warns.
House poised to pass bill giving SEC more power to claw back investor losses
Bipartisan measure would establish 14-year statute of limitations, countering recent high court decision that set a five-year limit on recouping losses.
ETFs that hide their holdings get a green light
The SEC plans to approve active nontransparent ETFs from T. Rowe Price, Natixis, Fidelity and Blue Tractor
How new fintech solutions can assist with Reg BI
Leveraging key technologies can ensure that clients' interests are protected.
SEC highlights enforcement actions involving advisers and brokers
Cases bring focus to protection of retail investors, including crackdown on expensive share classes.
Morgan Stanley to pay $1.5 million penalty over fund classes
SEC says the firm's share-class selection calculator was inadequately tested and validated.
State insurance commissioners closing in on stronger standard for annuity sales
Critic says latest iteration falls short of true best-interest standard set by New York
SEC calls out conflicts of interest in TDFs
Many sponsors of the popular 401(k) funds don't disclose their use of underlying in-house investments.
SEC charges Bolton Securities with failing to disclose 12b-1 fee conflicts
Agency says firm also engaged in self-dealing transactions that profited firm's reps.
Feds charge New York ‘consultant’ with running multimillion-dollar Ponzi scheme
Ruless Pierre charged with securities fraud and wire fraud over promises of 20% returns.
Lawsuit claims GPB a Ponzi, riven with conflicts and self-dealing
Attorneys say investment firm's returns to investors came from new investors, not from business operations
SEC tallies more enforcement activity in 2019, increases penalties, money returned to investors
Agency takes most actions against advisers, investment companies.
SEC proposes allowing advisers to use testimonials, endorsements in ads
Agency updating marketing rules for first time since 1961 to reflect new technology such as social media.
SEC bars former LPL broker who pleaded guilty to $4.9 million Ponzi
Norwalk, Conn., financial professional preyed on elderly clients
Supreme Court to consider challenge to SEC disgorgement powers
California couple fighting a $27 million disgorgement order argue the agency lacks the power to demand the penalty.
SEC bars ex-compliance officer of Idaho RIA over wire fraud
Agency alleges Cameron High participated in the $11 million overbilling of clients.
SEC bars ex-compliance officer of Idaho RIA over wire fraud
Agency alleges Cameron High participated in the $11 million overbilling of clients.
SEC reportedly probing AIG sales practices for retirement products
Insurer's stock drops on report the agency is looking at the unit that handles retirement plans for school districts and universities.
SEC reportedly probing AIG sales practices for retirement products
Insurer's stock drops on report the agency is looking at the unit that handles retirement plans for school districts and universities.
