Securities and Exchange Commission Chairman Gary Gensler is pursuing a long list of priorities that befits his reputation as an aggressive regulator. As you scroll down the agency’s latest regulatory agenda, you’ll notice pending rule proposals for climate change and ...

Financial firms must be ‘proactive’ in aligning compliance practices to meet emerging risks and Securities and Exchange Commission investor protection priorities, the agency’s new enforcement chief said this week. Gurbir Grewal, director of the SEC’s Division of Enforcement, used the ...

A disclosure document intended to highlight the differences between investment advisers and brokers instead blurs the line between them and should be fixed by the Securities and Exchange Commission, the Institute for the Fiduciary Standard said Wednesday. Three SEC commissioners ...

The Securities and Exchange Commission on Monday ordered 27 financial firms to pay a total of $910,092 in penalties in the first enforcement actions for compliance failures related to the client disclosure document known as Form CRS. The customer relationship ...

Fiduciary advocates are pushing the Securities and Exchange Commission to overhaul a document that is intended to help investors select a financial adviser because they say it doesn’t clarify the differences between investment advisers and brokers. The Institute for the ...