Displaying 3266 results
Advisers trying to hide high-fee mutual fund share classes won’t fool SEC
Agency has the ability to detect share-class issues using data-driven initiatives.
New York adviser sentenced to six months for insider trading
Tibor Klein also will pay $20,000 fine for trading on 2010 Pfizer acquisition.
SEC offers advisers amnesty to move clients out of high-fee mutual fund share classes
Enforcement division giving advisers until June 12 to declare intentions to self-report fiduciary violations and make financial restitution.
SEC seeks budget increase to add 13 adviser examiners
Agency wants to start hiring again after two-year freeze.
Deutsche Bank Securities to pay $4.45 million over mortgage-backed securities
SEC says the firm profited at the expense of customers in trades from 2011 to 2015
SEC bars former Merrill rep Thomas J. Buck over commissions
Accused of charging clients excessive fees and commissions, Thomas J. Buck has already been barred by Finra and has pleaded guilty to a criminal charge.
Finra: More than a quarter of arbitration awards go unpaid
Brokerage regulator seeks to involve SEC, Congress in solutions.
SEC exam priorities target fee disclosures to retail investors
Agency also to take close look at Finra, cybersecurity, market structure.
Bitcoin bubble burst raises concerns from lawmakers, regulators about investors
Senate panel questions SEC's Clayton on cryptocurrency's staggering rise and fall, which has dwarfed the stock market drop.
Reining in cryptocurrency top priority for SEC
Clayton trains sights on offshore platforms where digital currencies are bought and sold.
SEC censures Indiana-based RIA Mohlman Asset Management
Agency also bars Louis Mohlman Jr. for two years over loans to clients.
SEC charges two Boston-area former Morgan Stanley reps with fraud
James Polese and Cornelius Peterson stole nearly $500,000 from clients, agency claims.
SEC considers barring aggrieved investors from suing companies
Swept up by pro-business zeitgeist, regulator seeks to reverse two-decade slump in U.S. stock listings.
SEC files suit against California hybrid adviser for fraud
Charges firm's execs with lying to investors in real estate deals.
Cutting through the red tape of adviser regulation is tricky
Don't expect a simple rollback of rules under the Trump administration in 2018 — instead, regulators are on pace to bolster financial adviser oversight.
Supreme Court review will bolster fairness of SEC’s in-house judges
Those challenging the constitutionality of administrative law judges argue their increased powers mean they should be appointed, not hired.
SEC bars broker-adviser Frank Mazzola
Charges participation in securities sales without being registered.
Supreme Court review of SEC judges could roil pending cases
But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges.
Finra bars broker involved with Dawn Bennett
Bradley Mascho already charged by SEC with abetting fraud.
Fiduciary groups urge SEC to prevent brokers from using ‘adviser’ title
Comment letters from the Committee for the Fiduciary Standard and the CFA Institute suggest the clarification is needed to differentiate brokers from investment advisers.
