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.
Warren Asks SEC to Investigate Trading by Fed Officials
By Joe SobczykTwo regional Fed chiefs recently announced their departures following revelations about their trading activity last year.
September 30, 2021
SEC Proposes New Disclosures on Asset Managers' Proxy VotesThe proposed rule would require mutual funds and ETFs to disclose fund votes on shareholder proxies.
September 30, 2021
Senator Warns SEC Chief Not to Crack Down on Trading AppsThe SEC's mission "does not extend to protecting investors from themselves," Sen. Pat Toomey writes.
September 29, 2021
RIA Fined for Charging 81 Clients Without Providing ServicesThe clients stopped receiving advisory services after their original advisors left the firm, the SEC said.
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.
September 29, 2021
SEC Taps Ex-CFTC Commissioner as General CounselThe move reunites Dan Berkovitz with SEC Chair Gary Gensler.
September 28, 2021
SEC Committee Recommends Expanded Access to Private InvestmentsMost retail investors currently lack access to private equity, private debt and private real estate investments.
September 28, 2021
Reg BI Compliance Requires 'Tailored' Policies and Procedures: SECGive registered reps specific examples of how to accomplish Reg BI's requirements, the SEC's Asset Management director suggests.