SEC

Regulators officially approved 30 more funds last month, with more expected authorizations in 2026. Will financial advisors and their clients bite?

The justices are scheduled to resolve disagreement among lower courts over whether market regulators can order fraudsters to repay ill-gotten gains to victims.

The regulator considers raising the AUM threshold it uses when considering how newly proposed rules are likely to affect small RIAs.

A detailed to-do list for SEC-registered firms to build a foundation for compliant and effective anti-money laundering protocols.

A new risk alert calls out firms for improperly disclosing relationships with outside promoters brought in to provide a testimonial or endorsement.

The GENIUS and Clarity Acts and SEC guidance on custody clear a path for advisors recommending digital asset strategies, albeit with expanded diligence protocols.

Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.

The fund manager, convicted of fraud by a New York federal jury in August 2024 and sentence to seven years, spent less than two weeks in prison before being released.

After the newly crypto-friendly Donald Trump won reelection, bitcoin jumped over $100,000. Many advisors and even more clients remain skeptical, though.

The latest SEC Enforcement Activity report finds that the watchdog agency has only started four regulatory cases against public companies under the current presidential administration.

Fiduciary laws trace their roots to ancient times, but the terms of the Investment Company Act of 1940 and the Investment Advisers Act are still evolving today.

The Financial Services Institute is pressing the Securities and Exchange Commission to adopt formal procedures to prevent what it deems the sometimes capricious enforcement of industry rules.

A credit scare last month could have been a momentary blip, but financial advisors have always known there are a lot of risks in private investments.

In an ever-expanding and constantly shifting profession marked by messy but important debates, can one of the field's most important organizations keep up with the times?

The model they want to follow creates an exchange-traded fund as one of the share classes of a mutual fund, a move that ports the famous tax efficiency of the younger structure to the older vehicle.

Compliance and former SEC lawyers say remaining industry regulators will prioritize preventing imminent investor harm while putting off some paperwork and routine tasks.

Co-founded by four Orion veterans, new wealthtech startup Hamachi.ai seeks to embed AI-powered compliance into client communications.

A government shutdown disrupts federal agencies and markets. Here's what advisors need to know to guide clients through the uncertainty.

The plan to issue shares on the NASDAQ stock exchange comes three years after UBS abandoned plans to acquire Wealthfront.

Also this month in our disciplinary digest, a now-barred 'problem broker' for Stifel lands his former firm another hefty settlement, and an advisor is accused of fraud for trying to poach clients from his old firm.