SEC

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

The move comes the same week that the SEC said it would try to coordinate with the Labor Department on the regulation.

Distributors are no longer content with labeling their products with star investors.

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

Assets in products susceptible to the risk of fire sales during a future shock are up 673% since 2000.

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.