SEC regulations

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.

While some are mainstays, there are a few new ones to add to the list this year.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

The commission is visiting far more advisors than just two years ago.

The Senator wants to know what the SEC is doing to prevent harassment at banks.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

Planners must make accurate disclosures about their service models, says the regulator.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.