FINRA Outlines Q4 Regulatory Priorities
The regulator’s latest policy agenda highlights upcoming guidance and rulemaking on artificial intelligence and electronic delivery, which could affect financial...
Tag: SEC
Private Market Access Will Depend on Education and Transparency
At recent Securities and Exchange Commission roundtables, experts warned that without clearer disclosures on valuation, liquidity and fees, private assets...
SEC RIA ‘Small Entity’ Redefinition Could Affect M&A
If a large number of firms would be subject to less-burdensome regulatory requirements, it could lead to missteps during integration.
SEC Issues Risk Alert on Investment Advisers’ Compliance With Marketing Rule
The agency’s notice focused on issues concerning the provisions related to testimonials, endorsements and third-party ratings.
‘Complex Challenges’ Ahead as SEC Nears Dual-Share-Class Approval
Since April, the Investment Company Institute has looked into what asset managers may need to launch exchange-traded-fund share classes within...
Money Market Funds Damaged by ‘Flawed’ SEC Amendments
According to the Investment Company Institute, the most significant changes were made without public input.
SEC Fines 12 Firms $63M for Failing to Maintain Proper Electronic Records
The SEC has charged nine investment advisers and three broker/dealers for violations of federal recordkeeping laws.
“Shadow SEC” Group Aims to Shape Discussions on Federal Securities Laws
A group of academics created the group to seek the “wisest possible federal securities laws and policies,” and backed Trump’s...
Trump Picks SEC Alum to Chair Regulator
Paul Atkins, a digital assets advocate, has been designated the nominee to replace the outgoing Gary Gensler.
SEC’s $8.2B in Financial Remedies Highest in History
Outgoing SEC Chair Gary Gensler oversaw the highest fines figures for the regulator in 2024, though total enforcement actions were...
SEC Chair Gensler Announces January 20 Departure
Biden appointee Gensler will step down after a ‘robust rulemaking agenda’ as Republican leadership takes over the White House.
ICI Calls On SEC to Reassess Regulatory Agenda Amid Presidential Transition
The investment industry association’s letter highlighted key issues impacting investment advisers and investors.
SEC Inspector General Warns of More Lawsuits After Chevron
In its annual report, the SEC auditor warned of litigation related to current and future rules; separately, the ASA called...
Industry Watchers Point to Fiduciary Rule, ESG, Markets After Trump Win
The employer-sponsored retirement plan industry will be watching for shifts in policy and focus with the return of a Donald...
SEC’s 2025 Exam Priorities Include Fiduciary Conduct, AI Use
The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday.
SEC’s Enforcer Leaves Behind an ‘Aggressive’ Legacy
Gurbir Grewal’s SEC tenure will be remembered for his aggressive actions that spurred changes in financial advisement, and his successor...
SEC Charges 12 Financial Firms for Recordkeeping Failures
The firms will pay a total of $88.2 million in civil penalties.
SEC Committee to Host Investment Advice Discussion
The regulator’s advisory body will hold a public hearing September 19 to address fiduciary advice in the wake of the...
SEC Fines 9 Advisories for Marketing Rule Violations
The regulator issued penalties totaling $1.24 million to settle charges of ‘untrue or unsubstantiated claims.’
Raymond James Fined Over Mutual Fund Monitoring
FINRA fined two of the firm’s subsidiaries a total of $1.8 million for allegations of failing to properly review mutual...