SEC regulations

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.

During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.

Such changes can occur without new rulemaking, agree fiduciary advocates and ex-regulators at an Institute for the Fiduciary Standard press conference

The SEC has tweaked certain accounting rules and is considering doing more.

After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.

Those with the resources to sort through compliance thickets may be better positioned to take advantage of some long-awaited changes.

Analysts were permitted to adjust key stresses in the model used in determining commercial mortgage-backed securities ratings, according to the regulator.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.

Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

Attorneys, compliance experts and marketers weigh in on the regulator’s first update to advertising compliance in decades.

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.

It’s the latest dramatic twist in the story of USO, which was at the center of the storm as crude prices plunged earlier this year.

If planners can navigate data security and compliance concerns, the app can connect them with a huge new audience.

As the industry pushed to comply with the fiduciary rule, new issues emerged.

Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.