SEC

The industry watchdog is walking away from more than a dozen regulatory reforms that had drawn staunch opposition from advisors and industry groups.

An advisory panel has recommended changes that would bring arbitration rules for RIAs into line with those now governing FINRA proceedings for broker-dealers. The proposal still has to get through the SEC.

With the industry awaiting the regulator's looming actions, the index fund giant is seeking to apply its dual share class structure to actively managed strategies.

The impact of President Trump's push against diversity, equity and inclusion programs at the SEC remains murky, according to a watchdog report.

They must file the lengthy and highly specific Form ADV document with the SEC and state-level agencies. And that's just one aspect of the many strategic decisions.

Paul Atkins said he doesn't like regulation by enforcement, a message that broker-dealer groups have spent the last several years longing to hear.

With billions of dollars in revenue at stake, wirehouses and broker-dealers are keeping an eye on a potential regulatory change in favor of the ETF industry.

The industry conflict of interest takes many common, controversial or outright confusing forms. Here's what financial advisors and investors should know.

Optimism is building that a game-changing fund design that will help asset managers shrink clients' tax bills will soon be approved by the SEC.

Pending the confirmation of Trump-appointee Paul Atkins, acting chair Mark Uyeda is pushing back effective dates for pending rules and curtailinig crypto regulation.