SEC regulations

An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

In a little-noticed rule change, mutual funds no longer disclose their shrinking BD commission load-sharing payments.

A patented structure allows ETFs to report once a quarter in an effort to protect their intellectual property.

Wild price swings that have exceeded double-digit percentages in a single day have spurred the regulator to keep a close eye on volatility.

The rule unfairly gives brokers a leg up in the marketplace, harming the network’s 1,000 independent advisors, the firm claims.

The first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

The commission warns practices to tighten up supervision and ensure accurate disclosures.

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

It's the first significant regulatory filing requirement for RIAs in more than a decade.

Opening the door to retail money comes with risks, including the danger of exposing financial neophytes with relatively limited savings to complex investments.

A group of 11 trade associations plan to ask the state’s securities regulator to reconsider its conduct proposal in light of action by the SEC last week.

But the new rules may be a boon for some fintech firms.

The rule can only be effective if the investing public accurately understands its implications, says the firms’ chief platform officer.