Favored clients allegedly got the winning trades and others got the losers so the firm could profit more.

The SEC’s proposed document required for its Regulation Best Interest is written at a “14th grade level,” according to a new analysis, and uses jargon unfamiliar to most.

The Climate Risk Disclosure Act would direct the SEC to issue rules within 1 year requiring public companies to disclose their climate change risks.

About two-thirds of registered voters indicate they’d more likely vote for a candidate who supports regulating Wall Street and big banks.

Research found that the regulation’s Customer Relationship Summary actually increased investor confusion over the differences between brokers and investment advisors.

Secretary of State William F. Galvin announced an investigatory sweep of 63 broker/dealer firms.

A Michigan-based crypto firm wasn’t listed as a broker/dealer, in violation of securities regulations, said the SEC.

The SEC claims the independent broker/dealer failed to supervise reps who sold retail investors a leveraged oil ETN that was designed for traders; FINRA fined the firm for inadequate supervision of annuity sales.

The industry regulator’s complaint accuses a broker of securities fraud connected to his cryptocurrency “HempCoin.”

The SEC charged biotech billionaire Phillip Frost in a market manipulation scheme involving two microcap companies.