SEC

With transparency about conflicts on the rise even as it varies by firm, critics question whether clients really understand complicated technical documents.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

Here are questions the agency has been asking.

It could be the most significant update to advisor standards of conduct in years.

“The general feeling is that progress is made every day, little by little,” an executive said of the crypto community’s optimism.

The delay does not “indicate that the commission has reached any conclusions,” the regulator said.

With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

Christopher Dougherty’s proferred investments allegedly included real estate properties and a 100-acre organic farm.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.

The allegation was laid out in an SEC order, which hit a U.S. unit of the firm with a $500,000 penalty.

Previous Republican and Democratic presidents have declined to assert authority over independent agencies, partly because the legal issue isn’t simple.

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.

The fund aims to undercut its cheapest competitor by 1 basis point.

The move suggests that the SEC’s proposed Regulation Best Interest isn’t strong enough for some.

The regulator is on high alert as more than 10% of new launches last year targeted a theme.

Key tips for navigating the regulatory landscape.

Fund companies could launch a new type of product that does not have to reveal its assets.