SEC

The industry is awaiting SEC approval for dozens of applications, even as Vanguard's shareholder case highlights some of the tax complexity of the looming shift.

The industry watchdog is walking away from more than a dozen regulatory reforms that had drawn staunch opposition from advisors and industry groups.

An advisory panel has recommended changes that would bring arbitration rules for RIAs into line with those now governing FINRA proceedings for broker-dealers. The proposal still has to get through the SEC.

With the industry awaiting the regulator's looming actions, the index fund giant is seeking to apply its dual share class structure to actively managed strategies.

The impact of President Trump's push against diversity, equity and inclusion programs at the SEC remains murky, according to a watchdog report.

They must file the lengthy and highly specific Form ADV document with the SEC and state-level agencies. And that's just one aspect of the many strategic decisions.

Paul Atkins said he doesn't like regulation by enforcement, a message that broker-dealer groups have spent the last several years longing to hear.

With billions of dollars in revenue at stake, wirehouses and broker-dealers are keeping an eye on a potential regulatory change in favor of the ETF industry.

The industry conflict of interest takes many common, controversial or outright confusing forms. Here's what financial advisors and investors should know.

Optimism is building that a game-changing fund design that will help asset managers shrink clients' tax bills will soon be approved by the SEC.

Pending the confirmation of Trump-appointee Paul Atkins, acting chair Mark Uyeda is pushing back effective dates for pending rules and curtailinig crypto regulation.

Regulators accused Cambridge Investment Research of directing clients to mutual funds and other investments that generated revenue-sharing payments when cheaper options were available.

The new group will be in charge of fighting fraud not only in digital assets also in social media platforms, artificial intelligence, machine learning and blockchain technologies.

The order called for agencies including the SEC and the FTC to submit draft regulations for White House review before publication.

Hester Pierce, a Republican SEC appointee, said industry watchdogs had previously been practicing regulation by enforcement with digital assets.

Regulators can still conduct informal investigations but need higher-up permission to issue subpoenas for testimony or documents.

With Gary Gensler's "Wild West" in the rearview mirror, a less combative approach to cryptocurrency looks likely to boost product innovation and investor adoption.

Midsize firm Arete Wealth is invoking President Trump's executive order on government "weaponization" in urging the new administration to withdraw the case.

Hester Peirce and SEC Acting Chair Mark Uyeda say they want to group to devise a clear compliance framework for digital assets and end regulation by enforcement.

The avalanche of cases announced Friday included charges against a no-longer registered advisor and firm accused of misappropriating more than $20 million from clients.