SEC

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.

The regulator's Investor Advisory Committee said policymakers could abandon asset and income thresholds for determining who can put money into private markets and instead adopt a "sophistication" standard.

A frequent subject of SEC enforcement complaints and examinations can cause newer firms pain if they don't follow the rules.

Vanguard was accused of giving advisors incentives to enroll clients in certain financial service without disclosing how they were being compensated.

Also this month in our disciplinary digest, a frequent CNBC analyst is sentenced to five years in prison for defrauding investors, and a former Fidelity advisor faced charges after borrowing millions from clients.