SEC

Though largely replaced by the 1% of AUM model, performance-based fee structures are cropping up again — and that’s cause for concern.

The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

Instead of harmonizing standards of client care across the industry, it may be better to re-differentiate them in light of the fiduciary rule's recent court loss.

Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.

Merrill Lynch, UBS and others made considerable alterations to policies and procedures in order to be compliant with the Labor Department regulation.