Court will determine remedies against Donald Fowler at a later date.
Giving by corporations, foundations, as well as individuals, fell an estimated 1.7%.
For failing to credit discounts to customers, Citi will pay $377,000.
Case hits Spire Securities and its CEO and COO for activities of barred adviser who ran Ponzi scheme.
One has dropped by 25.4% and the other by 39%, according to the company.
Agency says Edward Moody Jr. has already pleaded guilty to one count of mail fraud.
Prospect of the first interest-rate cut in 10 years has some advisers fearing recession.
The Supreme Court upheld same-sex marriage. What does this mean for married and unmarried gay couples now?
After turning attention toward next-gen platforms and client experience, broker-dealers may have to rethink technology to comply with a best interest standard.
Despite an agency directive to eliminate the word 'fiduciary' in Form CRS, SEC officials say it's OK to use it.
Using illustrations could be a key way of boosting financial literacy.
The broker-dealer was censured and fined $40,000 for the infractions.
Wealth managers focus their expansion on clients with fast-growing fortunes.
Younger, less educated and less affluent have trouble saving and understanding finances.
The new standard is more stringent than the current one, laying out explicit steps that brokers must take when considering a retirement rollover.
Compliance requirements in the regulatory package affect both brokers and investment advisers.
Shannon Kennedy from Bank of New York Mellon Corp. will lead a team of more than 200 people.
Former SEC enforcement attorney will fill Democratic seat vacated by Kara Stein.
Though policy makers didn't alter their target rate, the change in wording seemed to pave the way for an easing move later this year.
Portion of settlements with financial perpetrators would supply the pool.
