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The SEC’s adoption of e-delivery is well overdue
The commission must consider carefully the interests and needs of all investors
Adviser bilked more than $100,000 from investment partnerships: SEC
The regulator is seeking permanent injunctions against Oscar Haynes Morris Jr. and his RIA Lakeside Capital Partners
Trade groups join push for e-delivery of investment documents
SIFMA, Investment Adviser Association, and others, are pushing the SEC to make electronic delivery the default option
Scalia making hay in his time inside
First he convinced the courts to throw out the fiduciary rule; now he’s crafted a new one as agency chief
Private fund group lobbies to get products in 401(k)s
The Institute for Portfolio Alternatives says lawmakers are receptive to its diversification pitch
BlackRock, Schwab, Fidelity press SEC for wider digital delivery of investment documents
Electronic delivery should be the default communication method for investors, according to a letter sent to the agency this month
Obama-era fiduciary rule cut sales of expensive annuities: Study
Even though a federal appeals court vacated the measure in 2018, its impact lives on
How a Biden win in November reshapes investment advice rules
Democrats scrapping the Trump administration’s reforms hinges on who’s picked to lead the SEC
Until Reg BI enforcement starts, we’ll have to take brokers’ word it’s working
Or you can rely on state securities regulators to provide data about advice reform
SEC orders advisory firm to pay $356,580 over fee disclosures
Signature Financial Services is the latest adviser to be caught in the regulator's 12b-1 fee dragnet
DOL advice proposal criticized by both sides at hearing
Fiduciary status test draws criticism for creating loopholes, casting net too widely
Advisers wary of becoming gatekeepers to private markets
The Investment Adviser Association wants discretionary clients of fiduciaries to be accredited
Massachusetts begins enforcing fiduciary rule despite Reg BI
Secretary of the Commonwealth William Galvin could take a more aggressive approach toward advice regulation than the SEC
SEC expands sophisticated investor pool
Democratic commissioners, other critics say the agency lacks understanding of risks posed by private market
SEC orders firm to pay more than $1 million over 12b-1 fees
Agency charges Burbank, California-based NPB Financial Group with disclosure, best execution failures
DOL schedules hearing on investment advice proposal
The session is slated for Sept. 3 following pressure from Democratic lawmakers and investor advocates
Phony Philly adviser latest snagged for unregistered securities
Dean Vagnozzi sold millions in unregistered securities to clients who weren't wealthy enough to buy them. Why did the SEC take so long to drop the hammer on him?
SEC share-class crackdown could spell the end for 12b-1 fees
The latest case has some experts wondering if any level of disclosure will suffice
Democrats oppose DOL investment advice rules as convention begins
Vice presidential pick Kamala Harris signed a comment letter seeking withdrawal of the measure in August
SEC orders firm to pay for share-class disclosure failures
Fresno, California-based SCF Investment Advisors took 12b-1 fees from mutual funds and revenue sharing from money market funds
