SEC regulations

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 Some applications were withdrawn.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.

Dec. 11: Asset management experts say these topics will be key drivers in 2018.

Some fund managers specializing in distressed debt smell an opportunity.

Most of the barriers protecting wealth management from tech competitors have been chipped away, executives say.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

"Data analytics is critical," says FINRA's chief risk officer.

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.

“People need to know what the rules are,” an industry consultant says.

With the compliance deadline nearing, regulators have yet to make key decisions on dark pools, rules clashes with foreign markets and data collection.