AML

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

While some are mainstays, there are a few new ones to add to the list this year.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

Regulations to keep bad actors out of U.S. financial markets could soon apply to RIAs.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.