SEC

Also this month in our disciplinary digest, a now-barred 'problem broker' for Stifel lands his former firm another hefty settlement, and an advisor is accused of fraud for trying to poach clients from his old firm.

The regulator's Investor Advisory Committee said policymakers could abandon asset and income thresholds for determining who can put money into private markets and instead adopt a "sophistication" standard.

A frequent subject of SEC enforcement complaints and examinations can cause newer firms pain if they don't follow the rules.

Vanguard was accused of giving advisors incentives to enroll clients in certain financial service without disclosing how they were being compensated.

Also this month in our disciplinary digest, a frequent CNBC analyst is sentenced to five years in prison for defrauding investors, and a former Fidelity advisor faced charges after borrowing millions from clients.

The question has turned into something of a paradox because of the related, but different, rise of RIAs and how that has affected independent brokerages.

As head of the SEC's enforcement division, Margaret Ryan is expected to pursue the administration's priority on fighting fraud and insider-trading cases, while taking a lighter touch than her precessor with the crypto industry.

Stanley Tulin and his wife, Riki, say they were deprived of more than $19 million by a scam run by their former investment advisors. And JPMorgan, they argue in a lawsuit, could have prevented the whole thing.

A proposed "model rule" would give state regulators laws they could adopt to bring their marketing regulations for investment advisors in line with the SEC's.

The SEC has quietly approved key rule changes that make crypto ETFs more efficient and appealing to institutions — a symbolic shift toward wider acceptance of digital assets in Washington.

The SEC's $1.8B off-channel communications crackdown shows how paused protocols can lead to crisis.

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.