SEC regulations

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?

The brokerage sector and investor advocates are gearing up for a fight over broker provisions.

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

One topic under alleged examination is the monthly process through which prices of the benchmark’s futures contracts are calculated.

The commission's frequently asked questions come six weeks ahead of the deadline to self-report placing clients in high-fee share classes.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

“The broker-dealer world has tried to hang their hat on suitability, and if you close your eyes a little and squint, they almost look like fiduciaries — but not really,” one advisor says.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

Compensation levels rose approximately 7% last year despite mounting industry challenges.

Advisors who should self-report a violation — but don’t — could face enforcement actions.

Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.

The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.