SEC regulations

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 Some applications were withdrawn.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.