SEC

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Corporations, banking trade groups and consumer advocates are looking for favorable legislation from Congress.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

With the Labor Department and SEC signaling further potential changes in the regulatory framework, here's what advisers need to know now.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

Advisers may think their firm’s credibility stems from a big number. That’s not to say they should misrepresent their assets under management, Michael Kitces writes.

An open question is how the latest effort by the agency would coordinate with the Department of Labor.

The investor received 15 months in prison after pleading guilty to wire fraud.

The OCIE is suggesting best practices for firms to protect themselves.