Regulation

The regulator charged RiverSource with violating a provision of the Investment Company Act that’s never previously been part of an enforcement action.

The regulator's proposal for sweeping disclosure rules is not making the asset management industry happy.

Firms like Morgan Stanley, Goldman Sachs and Commonwealth have made changes under the rule, but the SEC is sending tough and vague messages.

In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.

More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.

With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.

Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.

Market volatility and the Fed's interest rate increases aren't likely to reverse the trend.

While the regulator claims stricter access and education requirements may protect retail investors, it’s argued that financial advisors can do a better job.

In a panel held by NASAA, experts from giant wealth managers explained how reps and their teams often serve as the first line of defense.