Regulation

Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.

A federal court has temporarily halted the Securities and Exchange Commission's climate-related disclosure rule in response to a lawsuit from a pair of fracking companies.

Industry lawyers think the watchdog agency may be handling low-level missteps through informal means and saving the big fines for violations that harm clients or undermine markets.

One of the largest independent wealth management firms faces a big potential SEC judgment in a case that sheds light on industry revenue-sharing practices.

A divided Securities and Exchange Commission approved a new rule to require companies to provide climate-related disclosures, but scaled back the original proposal.

A tax efficient fund model, applied to new share class structures, awaits SEC approval.

Industry lawyers say the case shows that "half disclosures" of brokers' conflicts of interest won't be enough for regulators.

Crafting and administering an effective RIA compliance policy is hard but essential for firms that seek to avoid fines and reputational damage.

Van Eck Associates failed to share important details about the fund's planned fee structure with its board, according to the regulator.

Despite major pushback on various proposed regulations, the chair said he is focused on "getting it right."