Financial regulations

As executives accept Trump's fiduciary rule delay, many have shifted their focus to the SEC's new reporting modernization regulation.

The research giant says it aims to lower costs by removing a layer of fees paid to third-party managers.

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.

The acting head of OCIE says the commission has abandoned "wide, full-scope" scrutiny in favor of more targeted, risk-based reviews.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

Acting Chairman Michael Piwowar calls accredited investor threshold an "artificial distinction" that perversely can hurt the smaller investors it's designed to protect.

Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.

In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.

Even a well-intentioned compliance manual can draw the ire of regulators.