Regulatory reform

The party’s draft party platform criticizes lax standards implemented by the Trump administration, and vows to strengthen Social Security.

A weaker U.S. dollar and a rollback of some of the 2017 tax cuts are just two possibilities, experts say.

A Democratic-led SEC could revisit Reg BI, advocacy groups and industry observers say.

The change is one of several made to the board’s disciplinary reporting process following a report by an independent task force that found “systemic, long-standing, governance-level weaknesses.”

FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.

Only a firm “actively swindling funds” would trigger an onsite visit, according to Peter Driscoll.

The policy change may prompt more defendants to reach settlements, an attorney says.

Some attorneys say it's welcome relief, but how long will it take to get new hearing dates?

"If rules are too broad or vague, we may end up circumscribing conduct that we never intended to capture,” Commissioner Allison Herren Lee said.

In an hour-long session, justices considered the agency's use of “disgorgement” to collect money from someone the commission sues in federal court.

The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.

Trade groups warn that a proposal could end commissions in the state and play into a "fractured" regulatory environment nationwide.

In the 1960s, iconoclastic reformers started a campaign to kill fixed brokerage fees. Today, we’re witnessing the logical culmination of that effort.

Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.

A close look at the seven letters Jay Clayton highlighted, and about two dozen others submitted to the SEC by supposedly regular people, shows they are the product of a misleading — and laughably clumsy — public relations campaign by corporate interests.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.

The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.

BrokerCheck is potentially missing critical information clients need to evaluate brokers, investor advocates say.

The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.