The SEC and CFTC jointly proposed raising reporting thresholds and streamlining Form PF, aiming to ease compliance for nearly half of current filers while retaining critical systemic risk data. The ...

To help retail investors better understand the services, fees, costs, conflicts of interest, and required standards of conduct that apply to relationships with broker-dealers (Broker-Dealers), ...

On June 11, 2025, the Securities and Exchange Commission (“SEC”) voted to extend the compliance date for the most recently adopted amendments to Form PF by approximately four months, to October 1, ...

It's the agency's second round of Form CRS compliance cases. The SEC is encouraging firms to self-report delinquencies. By Mark Schoeff Jr. The SEC Tuesday fined 12 financial firms a total of $292,523 ...

Guidance from the Securities and Exchange Commission late last month could limit RIAs’ ability to define themselves in their Forms CRS as fiduciaries, according to the Institute for the Fiduciary ...

Mark Jahn is a financial writer, editor, consultant, and award-winning economist covering ETFs, stocks, cryptocurrencies, options, and more. Yarilet Perez is an experienced multimedia journalist and ...