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Regulation and Compliance > Federal Regulation

SEC Regulation and Compliance

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.

Webcasts

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SEC Charges Firm With Inflating AUM on Form ADV
SEC: ‘Cash Flow King’ Host Ran $11M Ponzi Scheme
SEC Fines Firm $1M Over Marketing Rule Violations
Deutsche Bank Unit to Pay $25M to Settle SEC Probes
SEC Hits Wisconsin BD With Reg BI Fine

Podcasts

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Goldman Sent Inaccurate Data to the SEC on 163M Trades
SEC Expands Its Rule on Fund Names
SEC Sues Firm That Managed Billions for Russian Oligarch
SEC to Vote Wednesday on Rule to Curb Misleading Fund Names
8 Marketing Rule Documents the SEC Requests During Exams