The years-long dispute between the Securities and Exchange Commission and Cutter Financial Group appeared to end when the jury returned a split verdict April 23. Not so fast. The SEC now seeks court ...

LPL Financial failed to follow its own anti-money laundering procedures for client identification across more than 12,000 accounts over nearly five years, according to the SEC. "Federal law requires ...

The SEC's final rule takes concepts from both the Task Force on Climate-Related Financial Disclosures (TCFD) and the Greenhouse Gas Protocol to assess firms on climate matters. Firms must provide ...

The Securities and Exchange Commission (SEC) has adopted amendments to Regulation S-P that require certain financial institutions to disclose data breach incidents to impacted individuals within 30 ...

An artificial intelligence-powered investment platform has been approved by the Securities and Exchange Commission (SEC) as a registered financial advisor, becoming the first non-human entity to be ...