SEC

XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.

A new fund from Pacer ETFs will track an index of companies offering products, technologies and services that are currently in high demand.

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Here's what advisors need to know as the agency continues remote exams.

Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.

The fund will track industries such as cloud technologies, remote communications and cyber security, according to an SEC filing.

Organizations and firms are donating N95 masks, providing resources at no cost and taking steps to protect employees and practices nationwide from the spreading pandemic.

FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.

The regulator is seeking feedback on whether the current requirements that restrict the use of potentially misleading fund names are effective.

Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.