David Aaron Rockwell pleaded guilty to charges of wire and bank fraud in January and will pay more than $1 million.

Gary Gensler said on Wednesday that he asked the agency’s staff to examine issues related to stock trading including so-called best execution requirements.

An advisor doesn’t need to be in direct talks with private investors for this trend to have a real impact on their work.

The agency claims it needs additional tools and resources from Congress to properly regulate the burgeoning industry.

Even the most-seasoned professionals stand to gain a great deal by daring to step outside their comfort zones.

Like with GameStop in January, the SEC is looking for signs of market manipulation regarding AMC.

Centaurus Financial did not self-report 12b-1 fees charged to clients during an earlier amnesty period, prompting the SEC to levy the fine over conflicts and undisclosed revenue-sharing agreements.