Regulation

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.

What different outcomes could mean for financial planners and their clients.

The rule has faced a host of criticism from investors, environmentalists, asset managers and others.

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.

CEO Jamie Price says the change will reduce potential conflicts of interest related to transaction fees and come with lower prices in wrap accounts.

Complicating socially conscious investing is the fact the SEC doesn’t regulate how the category’s labeling is applied.