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.
The SEC Is Bringing Novel Insider-Trading Cases
By Nicolas MorganIt's taking an increasingly aggressive approach toward material nonpublic information, even in non-insider trading cases.
October 14, 2021
SEC Set to Allow Bitcoin Futures ETFs as Deadline LoomsThe regulator isn't likely to block the products from starting to trade next week, said people familiar with the matter.
October 14, 2021
SEC's First-Ever Chief Risk Officer Heads to Holland & KnightThe firm is "committed to strengthening its broker-dealer and investment adviser legal advisory practice, so I was thrilled with this opportunity," said Gabriel Benincasa.
October 14, 2021
SEC to Require More Admissions of WrongdoingFirms who admit wrongdoing send a signal to others to stamp out misconduct, the SEC says of reviving the Obama-era policy.
October 13, 2021
SEC Investor Advocate: Does Gamification Mean Game Over for Reg BI?For Reg BI to remain relevant, the SEC must make clear when digital "nudges" to trade are recommendations, Rick Fleming says.
October 12, 2021
Digital Nudges Could Be Investment Recommendations, SEC Chief WarnsThe question of where such nudges cross that line could have legal ramifications for investment platforms, SEC Chairman Gary Gensler says.
October 12, 2021
Reg BI to Be Folded Into Regular SEC ExamsThe "good news is there's not going to be a Phase 3" of Reg BI exams, said the SEC's John Polise.
October 11, 2021
Coinbase Hit With Class-Action Suit for Failure to Register as an ExchangeCoinbase has denied that the digital assets it lists on the Coinbase Digital Asset Platforms are securities, the suit states.