Financial regulations

An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

The SEC’s recently passed ETF modernization rule, which expands choice in the market, “is probably the end of the mutual fund industry.”

In a little-noticed rule change, mutual funds no longer disclose their shrinking BD commission load-sharing payments.

The change, the regulator says, will facilitate greater competition and innovation in the ETF marketplace, leading to more choice for investors.

A patented structure allows ETFs to report once a quarter in an effort to protect their intellectual property.

Wild price swings that have exceeded double-digit percentages in a single day have spurred the regulator to keep a close eye on volatility.

Charlie Scharf’s most immediate priorities include mending fences with regulators and getting the bank out from under a Fed-imposed asset cap.

Alternative compensation structures may provide more consumer protection, and drive higher client satisfaction.

The rule unfairly gives brokers a leg up in the marketplace, harming the network’s 1,000 independent advisors, the firm claims.

After an investigation into the self-disclosure of regulatory incidents, the board is looking to strengthen the review process and clear up public confusion.

The first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.

Due to a 2010 FINRA rule change the answer is — with difficulty.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

The commission warns practices to tighten up supervision and ensure accurate disclosures.