The Securities and Exchange Commission chair describes his philosophy of markets and regulation—and why he loves climbing mountains.

CEO Ken Bentsen’s comments came during the organization’s 'state of the industry' presentation, with FTX’s recent collapse underscoring the need for stronger supervision of the space.

The holidays are not always "happy" for all clients.

In uncertain times, bad advisors hide from their clients; good advisors put themselves out there—and that’s how they take market share.

The regulatory agency released an update Wednesday on its targeted sweep of firms’ supervision of options recommendations, launched in August 2021, offering more pointed questions for registrants.

Seniors are prime targets for scammers looking to cheat them out of their money—often to the tune of tens of thousands of dollars.