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What advisors need to know about revenue sharing, wrap fees and outside investors in the wake of Reg BI.November 20
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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.November 19
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The fact that it’s impossible to track the amount of revenue sharing kickbacks demonstrates the problem, says the research firm’s lead policy wonk.November 18
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Rather than disclosing their portfolios every day like conventional ETFs, the nontransparent products will reveal their holdings at least once a quarter.November 15
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Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.November 11
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An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.November 6
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The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.November 5
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The court is taking up a challenge to one of the agency’s most potent legal weapons.November 4
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The regulator was allegedly inquiring about whether incentives at an firm unit rewarded salespeople for pitching higher-cost products.October 29
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The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.October 29
