SEC regulations

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.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

Some guidance is in order to make sure encountering the revised SEC document for the first time goes smoothly.

The proliferation of smart beta and increased AUM are among the forecasts by industry experts.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

Liquidity and valuation are the regulator’s key areas of concern.

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.

More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.

Industry experts offer their forecasts for leading trends in the coming year.

One expert suggests the SEC could develop a new system to evaluate firms' conflicts, assigning scores similar to those from Consumer Reports.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.