The SEC chair’s testimony before the Banking, Housing, and Urban Affairs committee also touched on issues like crypto assets and climate risk disclosures for issuers.

The subsidiary of MassMutual Holdings will pay $2.1 million in total for the alleged lapses.

Stephen Condon Peterson sold bogus promissory notes, using investor cash to buy art and fund a Costa Rica vacation home, according to the Justice Department.

The results in the 2021 Investment Adviser Association survey come several months after the SEC’s new ad rule.

The SEC argued sanctioned firms failed to follow proper digital security policies, resulting in data breaches that exposed client information. But what is 'reasonably designed' protection?

For the most part, the machines are doing it wrong and humans are doing it right.

SEC Chair Gary Gensler's latest comments mark the newest warning to the asset management industry to avoid inflated language around its environmental, social and governance allocations.

A slate of new appointees, including investor advocate Barbara Roper, show chair Gary Gensler moving away from the traditional revolving door with industry to staff up the agency, and that could impact advisors, say SEC observers.

The couple, who also took out a PPP loan, told investors they were managing foreign currency funds that would earn them at least 10% annually.

Cantella & Co., a dually registered firm with more than $2 billion in assets under management, allegedly recommended money market funds without disclosing revenue-sharing payments.