SEC regulations

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.