SEC regulations

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Oct. 30: After experiencing two major bear markets, younger generations are demanding products that are easy to understand and offer transparency.

A recent launch from Flat Rock is designed to provide access to middle-market debt in a new way, according to the firm’s CEO, Robert Grunewald.

Regulators want advisors' social media addresses to help them identify audit targets, one expert says.

Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

While the SEC does its due diligence into the new European rules, some of the world’s largest money managers have started to make independent decisions.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.

Risk alert: The agency expects advisors to follow these steps.

Expected new chief for financial products is fueling speculation for more innovative funds.

Operational challenges and strategic initiatives are at a crossroads.

Some advisers are actually embracing changes by making the rules work for them.

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.

As executives accept Trump's fiduciary rule delay, many have shifted their focus to the SEC's new reporting modernization regulation.

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.

The acting head of OCIE says the commission has abandoned "wide, full-scope" scrutiny in favor of more targeted, risk-based reviews.