SEC regulations

The IBD’s advisors did not understand investments they sold to clients, the SEC says.

The firm allegedly encouraged clients to use an affiliated investment advisor, and benefitted from the fees it charged them.

Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.

Piwowar was appointed to the SEC by President Obama in 2013.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

The SEC called into question the ability of the cryptocurrency’s exchanges to sufficiently police trading.

George L. Taylor and Temenos Advisory violated their fiduciary duty by pocketing commissions and concealing conflicts while the firm was in financial distress, the commission charges.

The industry is imagining more vibrant, more agile and more inclusive processes that deliver results, says Confluence CEO Mark Evans.

The funds, which account for roughly 1% of the $3.5 trillion of assets in ETPs, “pose real risks to American families.”

“Our whistle-blower program is a critical component in our investor-protection toolbox,” SEC Chairman Jay Clayton says.

The framework targets so-called plain vanilla funds, yet leaves in place a more laborious path for firms wishing to list complex products.

Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.

Issuers want the regulator to go further and make it easier for managers to choose the securities they add or subtract when they issue and redeem shares.

The firm agreed to settle and admitted wrongdoing, according to the regulator.

Disparate voices in the fiduciary debate agree that Form CRS might be too dense and complex to achieve meaningful disclosure.

Keeping brokers and advisors on a separate regulatory track could preserve the “competitive advantage” that RIAs enjoy, says Schwab exec.

Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.

Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

What should advisors expect from the upcoming regulation?