Financial regulations

A Supreme Court ruling could eviscerate one of the agency’s most potent weapons.

That would be a big “no,” in most cases, according to FINRA, but gives rise to another question…

The commission “failed to enact a meaningful conduct rule,” state regulator William Galvin says.

Advisors can protect clients’ estate planning goals post-Secure Act but the vehicle will have to change.

The FTC wants buyers and sellers to identify their largest shareholders, the extent of their influence and any communications they’ve had, sources say.

The SEC examined approximately 2,180 RIAs in 2019.

SEC-mandated disclosures for dual registrants could put clients off brokerage options, some suggest.

Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.

The commission-free brokerage did not reasonably review “hundreds of thousands of orders each month,” according to the regulator.

Now, armed with data from the rule’s rollout in Europe, asset managers in the U.S. have a better sense of each analysts’ worth — fairly or not.

"I don't mean to ruin your holidays, but ... " Regulators and industry insiders caution against delaying compliance efforts as the June deadline approaches.

One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.

The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.

Brokerage firms that sell the funds must determine whether clients understand their risks — a requirement that could discourage offering them at all.

What advisors need to know about revenue sharing, wrap fees and outside investors in the wake of Reg BI.

SEC Commissioner Robert Jackson Jr. said his office studied 15 years of data to assess how the firms utilized their power on hundreds of proposals.

The fact that it’s impossible to track the amount of revenue sharing kickbacks demonstrates the problem, says the research firm’s lead policy wonk.

Rather than disclosing their portfolios every day like conventional ETFs, the nontransparent products will reveal their holdings at least once a quarter.

Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.