SEC regulations

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.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.

Even a well-intentioned compliance manual can draw the ire of regulators.

Rule supporters say they intend to continue making their case on Capitol Hill.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

Charles J. Dushek allegedly made trades without designating in advance whether he was trading personal money or client assets.

The former federal prosecutor is the president-elect's pick after vetting a handful of candidates, said a person with knowledge of the matter.

Ex-RIA Richard G. Cody gave false reports to retirees for more than a decade, the SEC says. Many lost most of their life savings.

The firm also asked for the suits filed in federal court to be thrown out.