Financial regulations

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

Asset managers already allocated $11 billion to developing new funds to comply with the requirement.

The Senator wants to know what the SEC is doing to prevent harassment at banks.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

The beleaguered bank is reported to have been ordered by the Justice Department in late 2017 to conduct an independent investigation of the business.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

The scrutiny puts a spotlight on a small corner of the $3.4 trillion ETF industry.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.

Planners must make accurate disclosures about their service models, says the regulator.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.

The good, the bad and the downright inexplicable in the suggested changes.

Investor advocates laud regulator's newest steps to address the longstanding problem.

The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

Some guidance is in order to make sure encountering the revised SEC document for the first time goes smoothly.

The effort will allow other critical resources to be focused on more substantive matters such as examinations and licensing requirements.

The legislation, opposed by most major asset managers, would repeal a requirement that the riskiest funds allow share value fluctuations.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.