SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
SEC Urges Advisors to Fine-Tune Compliance Reviews
By Melanie WaddellA risk alert points to ongoing challenges in keeping in step with the Compliance Rule.
September 11, 2026
Variable Universal Life Sales Climb 24.5% in Q2Buyers favored the potential for growth over stability, Wink issuer survey data reports.
September 04, 2026
White House Review of SEC Rules Draws Mixed ReactionsAdvisors and industry watchers disagree on whether OMB review will improve or slow SEC rulemaking.
September 03, 2026
New Bill Requires SEC to Create Life Insurance, Annuity Registration FormsThe CLEAR Forms Act calls for forms tailored to registered non-variable insurance contracts.
September 02, 2026
Private Fund Advisors Busted in Ponzi-Like Scheme Against Retirees: SECMark Hanf and Hoai-Nam Chu Phan made material misrepresentations regarding the Pacific Fund and Freedom Fund, a complaint says.
September 01, 2026
SEC Investigating Florida Advisor Facing Millions in Lawsuits: ReportMichael Watkins is accused of defrauding 13 clients.
August 28, 2026
38 Phony Advisors Faked Filings to Lure Investors: SECSeveral of the charged firms are linked to foreign internet addresses, the agency says.
August 28, 2026
Exec Pay Disclosure Plan for Public Firms Advanced by SECChair Paul Atkins has long signaled his intent to overhaul the scope of executive compensation disclosures that have been in place since 1992.