Robo-adviser platforms are coming under the gun again as the latest tech advances attract increased scrutiny from regulators and raise concerns about the possibility of conflicts. New tools, like artificial intelligence and predictive analytics, have helped robo-advisers better manage money ...

Securities and Exchange Commission Chair Gary Gensler is making it clear he’s skeptical the hundreds of investment funds that tout ESG credentials are as green or socially conscious as advertised.  On Tuesday, the Wall Street regulator posted a video on ...

The Biden administration faces a fresh environmental setback after its signature climate initiative flopped in Congress, this time as a Democratic rift on the SEC stalls efforts to bring corporations into the fight against global warming. At issue is a ...

The SEC took steps this week to get a better handle on what’s happening at often opaque private investment funds. The Securities and Exchange Commission on Thursday released a risk alert outlining compliance problems it observed during five years of ...

The SEC hasn’t been shy about pushing financial advisers to protect their clients’ data from cybersecurity breaches, but a pending rulemaking likely will clarify the regulator’s expectations. Over the last few years, the Securities and Exchange Commission has issued cybersecurity ...

When the Securities and Exchange Commission brings an enforcement case, one of the increasingly frequent responses from alleged violators is that they didn’t know that what they did was a violation. This reaction is at the heart of an effort ...

Securities and Exchange Commission Chairman Gary Gensler defended the agency’s use of tight deadlines for public input on rulemaking proposals in remarks before a group of financial industry representatives who want more time. Gensler acknowledged that the agency has mostly ...

As the pandemic enters its second year and everyday life takes on some semblance of normalcy, the InvestmentNews team looks back at the most interesting developments of 2021. Democratic control of government this year has resulted in an energetic Securities ...

Mobile investing apps exploded in popularity post-pandemic and some analysts say they could draw hundreds of millions of new retail investors by the end of next year. That meteoric rise is attracting the attention of lawmakers and regulators, who are ...

The XY Planning Network filed petitions with the Securities and Exchange Commission Monday to promulgate rules that would sharpen the distinction between brokers and investment advisers. The network, a financial planning platform for fee-for-service investment advisers, is prodding the SEC ...