SEC regulations

After more than a decade of opposition, the Securities and Exchange Commission has given the green light.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

The Securities and Exchange Commission approved new rules that would require entities to disclose material cybersecurity incidents.

There are important nuances to note in the relatively straightforward requirements of the rule.

SEC Chair Gary Gensler is worried about conflicts of interest in investment advice.

The Securities and Exchange Commission charged several investment advisors with combined penalties of $1 million for violating the Investment Advisors Act's Custody Rule.

Even if rules governing the new assets turn out to be at odds with those of firms, acting today will foster a compliance culture in a volatile financial services space.

Advisory firms are particularly vulnerable to data breaches, according to a recent Arizent survey, and proposed SEC rules mean they may no longer be able to react to cyberattacks with impunity.

The commission issued a 500-plus-page proposed rule Monday that would mandate corporate disclosure of greenhouse gas emissions.

The New York-based advisor is accused of defrauding at least 56 investors.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.

During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.

Such changes can occur without new rulemaking, agree fiduciary advocates and ex-regulators at an Institute for the Fiduciary Standard press conference

The SEC has tweaked certain accounting rules and is considering doing more.

After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.

Those with the resources to sort through compliance thickets may be better positioned to take advantage of some long-awaited changes.

Analysts were permitted to adjust key stresses in the model used in determining commercial mortgage-backed securities ratings, according to the regulator.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.

Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.