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SEC regulations
9 cybersecurity steps the SEC wants to see
Risk alert: The agency expects advisors to follow these steps.
Will the SEC ease ETF approvals?
Expected new chief for financial products is fueling speculation for more innovative funds.
Voices
Meeting the ever-increasing volume of data needs
Domenic Ionadi
Strategic Account Manager
Confluence
Operational challenges and strategic initiatives are at a crossroads.
Why regulation doesn’t have to mean restriction
Some advisers are actually embracing changes by making the rules work for them.
SEC OCIE exams to rise despite lower budget
OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.
How to survive an SEC exam
One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.
SEC heightens exam focus on robo advisors
RIAs using digital platforms will face scrutiny about disclosure and client communications.
Whistleblower, after retaliation by JPMorgan, pays FINRA price, too
The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.
Asset managers focus on SEC compliance over DoL rule
As executives accept Trump's fiduciary rule delay, many have shifted their focus to the SEC's new reporting modernization regulation.
Denial of Winklevoss Bitcoin ETF proposal deals blow to digital currency
The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.
See more SEC regulations
