The agency has taken a more pro-regulatory tone than many expected
Agency said high court's decision in Kokesh only applies to monetary sanctions.
Securities regulator says more than 1,600 agents and managers had lapsed registrations.
Brenda Smith of Philadelphia is also facing SEC civil charges that she lied about the performance of her fund, Broad Reach Capital.
Because they were unconventional, the wills could be challenged.
Finra panel gives UBS investors $4.25 million in damages, $170,000 in costs.
The ruling could mean plan sponsors can force employees into individual arbitration rather than defend a class-action suit.
James L. Beyersdorf also will disgorge $232,000 and pay $189,000 in fines.
Agency will soon issue a rule that will likely require electronic statement delivery unless participants opt out.
Commissioners vote 3-2 to issue guidelines on fund managers' responsibilities in dealing with proxy advisers
In one indication of how rapidly the market is evolving, S&P Dow Jones launched the S&P 500 ESG Index in January.
Large firms are well-situated to comply with the cost standards in the SEC's Reg BI given changes they made to prepare for the DOL fiduciary rule.
Linde Murphy wins small-firm board seat that was also subject of contested election.
The CFP Board should be commended for taking action.
Gregory T. Dean had admitted guilt a few weeks ago in a different case brought by the SEC.
The regulator issued an investor bulletin about indexed annuities that instead described a different product — a buffer annuity.
Former CEO of David A. Noyes, Mark Damer, was fired last month.
Markopolos cited the effect of new standards for how companies account for long-term care policies.
Political donations cross the aisle as lobbyists try to make friends on both sides.
IFS Securities says it fired the senior executive responsible for the money-losing transactions.
