Financial regulations

The proliferation of smart beta and increased AUM are among the forecasts by industry experts.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

Liquidity and valuation are the regulator’s key areas of concern.

It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.

Deals have heated up. Can the rapid pace continue?

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.

More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.

Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.

Industry experts offer their forecasts for leading trends in the coming year.

It’s a common practice but a dangerous one.

One expert suggests the SEC could develop a new system to evaluate firms' conflicts, assigning scores similar to those from Consumer Reports.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.

Dec. 11: Asset management experts say these topics will be key drivers in 2018.

Investors would be required to sell the shares they purchase first, which often is the lot that has the most gains and thus generates the bigger tax hit.

Analysts are worried that flows to passive funds may create lockstep moves between shares, distorting the market.

Some fund managers specializing in distressed debt smell an opportunity.

Most of the barriers protecting wealth management from tech competitors have been chipped away, executives say.

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.

"Data analytics is critical," says FINRA's chief risk officer.