The ruling upholds the agency's right to claw back ill-gotten gains as long as they’re from net profits of fraudulent schemes
A recent study found advisers with more ethics training are one-fourth less likely to participate in unethical behaviors
The executive had worked at the Financial Industry Regulatory Authority Inc. for nearly three decades
Technology providers are deploying tools to help advisers brace for new regulatory requirements
The sons of his partner were ordered to pay back almost $488,000
Threats to the equity rally include a COVID second wave, U.S.-China tensions and the prospect that central banks will wind down their stimulus efforts
The SEC chair has placed much political capital into reforming the agency's rules
A bipartisan bill to amend the Internal Revenue Code hints at more attention to the issue, according to a report from Morningstar
The ruling came in a lawsuit brought by a California couple ordered to pay $27 million after being found to have defrauded investors
The dispute between Attorney General Barr and Geoffrey Berman has cast a shadow over Clayton's nomination for the position
U.S. regulators dropped the ball in a recent letter clarifying that regulations do not prohibit the use of private equity funds in 401(k) plans
Jay Clayton would replace Geoffrey Berman, who is exiting after 2½ years in the job
The architect of the DOL fiduciary rule remains skeptical of the SEC measure
The Texas couple made 90 unauthorized distributions from pension and retirement plans they ran
The Democratic choice is likely to be paired with Republican Hester Peirce in the confirmation process
The panel also advanced a proposal to target exam cheating and pledged to increase the diversity of its membership
The 'Buckets of Money' adviser can apply to work in the securities industry again
The agency is likely collecting data to shape a proposed rule on investment selection
The investment manager's plan included a poorly performing, high-fee product, the plaintiff alleged
Cash is flooding into fixed-income ETFs at a record pace and interest in betting against both high-grade and junk funds has dissolved
