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.
Gensler's Terrible 10: SEC Rules That Make Wall Street Tremble
By Robert Schmidt | Ben BainThe SEC chair is laying out one of the most ambitious agendas in the SEC's 87-year history -- some 49 proposals, many already drawing opposition.
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.
October 04, 2021
Warren Asks SEC to Investigate Trading by Fed OfficialsTwo regional Fed chiefs recently announced their departures following revelations about their trading activity last year.
October 01, 2021
Barred Broker Who Bankrupted BD Is Charged With Fraud: DOJThe broker's unauthorized speculative bond trading cost his employer and others over $30 million, according to the SEC and DOJ.