SEC

The latest developments make columnist Bob Veres wonder whether he has fallen through a wormhole.

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.

“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”

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.

The SEC released a letter outlining where the most common deficiencies occur.

In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.

SEC staff recommended this solution as far back as 2011.

The Obama-era regulation may survive even Trump's sweeping regulatory rollback, some experts say.