Regulation & Compliance

DOL fiduciary rule architect Phyllis Borzi calls SEC’s proposal Reg BI “a huge step backward” for advisor standards.

Nearly 36 percent of investors who won their arbitration cases in 2017 collected nothing. Here are the firms and advisors that haven’t paid.

Floyd Mayweather agreed to pay more than $600,000 to settle with the SEC while DJ Khaled will pay more than $150,000.

Since the 2015 proposal, flows to unusually high load sharing funds have been declining, Morningstar finds. Will the SEC keep the momentum going?

The last two pieces aren’t what you’d expect.

Zachary Coburn’s EtherDelta marketplace executed more than 3.6 million orders for certain tokens without registering as a an exchange, the SEC said.