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.
Reg BI to Be Folded Into Regular SEC Exams
By Melanie WaddellThe "good news is there's not going to be a Phase 3" of Reg BI exams, said the SEC's John Polise.
October 08, 2021
Why Wall Street Could Get 4 Bitcoin Futures ETFs This MonthThey'll hold Bitcoin futures, not the digital asset itself, and are filed under the Investment Company Act of 1940 -- which offers higher investor protection.
October 07, 2021
Merrill to Pay $850K FINRA Fine Over Short Sale ViolationsThe wirehouse misapplied the SEC-approved Multi-day Approach on at least 6,000 occasions, FINRA alleged.
October 06, 2021
SEC Is Stretched Thin, Gensler TestifiesExam division staff has remained relatively flat despite recent growth of more than 20% in the number of RIAs, Gensler said.
October 05, 2021
SEC Chief Says the U.S. Won't Ban CryptocurrenciesThe U.S. won't follow China's lead in banning digital tokens and remains focused on investor and consumer protection rules, says Gary Gensler.
October 05, 2021
GOP Lawmaker Questions SEC Chief on Commitment to Reg BIGary Gensler says he fully supports the rule even after appointing staffers like Barbara Roper who oppose it.
October 04, 2021
SEC Chief Launches Probe of Complex ETPsGensler has directed SEC staff to examine the potential risks of complex financial products like leveraged and inverse ETFs.
October 04, 2021
SEC Charges Stock Trading Webcast Host in Pump-and-Dump SchemeThe former broker already pleaded guilty, in a parallel action, to conspiracy to commit wire and securities fraud.