Financial regulations

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.

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.

“People need to know what the rules are,” an industry consultant says.

Nov. 6: Platforms like FundKeeper are aimed at helping retirement account advisors comply with the DoL’s fiduciary rule.

Trump's pick might have to manage a recession, given that the current expansion would become the longest ever in the next four years.

With the compliance deadline nearing, regulators have yet to make key decisions on dark pools, rules clashes with foreign markets and data collection.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Susan Axelrod will leave the self-regulator after 28 years on the job.

Oct. 30: After experiencing two major bear markets, younger generations are demanding products that are easy to understand and offer transparency.

The manager expects the rule would remove some of the impediments faced by wannabe ETF issuers.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.