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's Gensler Signals Likely OK to Extend FINRA Remote Inspections
By Melanie WaddellGensler noted that there are "trade-offs" in conducting remote exams.
September 13, 2021
Former SEC Lawyer Betting on Increased Enforcement"There is just a lot more at stake when investors are being offered things that they may not fully understand," Daniel Michael said.
September 10, 2021
Ex-Advisor Loses Appeal, Gets 40 Years in Prison for Ponzi SchemeThe former advisor, broker and owner of a Raleigh, North Carolina, financial services firm had been convicted in 2019.
September 10, 2021
SEC's New Ad Rule Is Advisors' Top Compliance Challenge: PollFirms also want the SEC to conduct investor testing on Form CRS and rewrite the Custody Rule, an IAA poll finds.
September 09, 2021
Riskalyze Expands Connected Trading: Tech RoundupAlso, Broadridge Fi360 Solutions introduces enhanced Decision Optimizer software for financial advisors.
September 08, 2021
Coinbase Accuses SEC of 'Sketchy Behavior' After Threat to SueOn Twitter, CEO Brian Armstrong said the SEC would be creating an unfair market if it tries to shut down its new lending product.
September 03, 2021
Advisor to Pay $841K for Charging Hidden Fees to Pro AthletesDouglas E. Elstun charged higher fees than clients had agreed to and invested in high-risk ETFs, the SEC says.
September 03, 2021
SEC Cracking Down on Overblown ESG Labels; Funds Feel the HeatThe SEC wants asset managers to explain the standards behind ESG fund classification.