SEC

With billions of dollars in revenue at stake, wirehouses and broker-dealers are keeping an eye on a potential regulatory change in favor of the ETF industry.

The industry conflict of interest takes many common, controversial or outright confusing forms. Here's what financial advisors and investors should know.

Optimism is building that a game-changing fund design that will help asset managers shrink clients' tax bills will soon be approved by the SEC.

Pending the confirmation of Trump-appointee Paul Atkins, acting chair Mark Uyeda is pushing back effective dates for pending rules and curtailinig crypto regulation.

Regulators accused Cambridge Investment Research of directing clients to mutual funds and other investments that generated revenue-sharing payments when cheaper options were available.

The new group will be in charge of fighting fraud not only in digital assets also in social media platforms, artificial intelligence, machine learning and blockchain technologies.

The order called for agencies including the SEC and the FTC to submit draft regulations for White House review before publication.

Hester Pierce, a Republican SEC appointee, said industry watchdogs had previously been practicing regulation by enforcement with digital assets.

Regulators can still conduct informal investigations but need higher-up permission to issue subpoenas for testimony or documents.

With Gary Gensler's "Wild West" in the rearview mirror, a less combative approach to cryptocurrency looks likely to boost product innovation and investor adoption.