Regulation

While these 20 dizzying changes will throw some for a loop, financial advisors and their clients grow more powerful each year.

One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.

The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.

Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.

The advisors had won $1.6 million in back pay and fees in a case decided last month.

The four new types of funds use a so-called proxy basket and will publish some information about their portfolios every day.

A former rep has drawn at least 30 claims after pleading guilty to fraud, while clients of another ex-LPL advisor are seeking damages five years after his initial arrest.

“It’s going to become increasingly more important for financial professionals to understand the potential benefits of sustainable investing,” an executive says.

Not a great idea, says Alan Foxman, but if you’re determined, there may be a way.

SEC Commissioner Robert Jackson Jr. said his office studied 15 years of data to assess how the firms utilized their power on hundreds of proposals.