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 Chief: Give Us More Power Over Crypto Before 'A Lot of People' Get Hurt
By Melanie WaddellLegislation granting the SEC more authority over cryptocurrency could get attached to a big spending bill this fall.
August 02, 2021
FINRA Gets a Green Light to Crack Down on High-Risk Firms, BrokersThe proposed rule change, approved by the SEC, would place new obligations on FINRA member firms with a long record of misconduct.
July 30, 2021
House Panel Passes Bills on Family Offices, Payment for Order FlowOrder Flow Improvement Act directs the SEC to study and consider banning or limiting the payment for order flow in the form of exchange rebates or payments from market centers to broker-dealers.
July 28, 2021
Robinhood Under FINRA Investigation, AgainThe firm received a FINRA investigative request related to its CEO and co-founder not being registered.
July 28, 2021
New Bill Qualifies Accredited Investors by SEC ExamThe bill would allow more people with the expertise, but not the required income or wealth, to invest in private companies.
July 28, 2021
Financial Groups, Firms Push for a Biden Order on Retirement SecurityBiden should convene cabinet leaders to address issues like Social Security, Medicare and LTC, the groups say.
July 27, 2021
Independent Contractor Status a 'Heavy Focus' for FSI Advocacy"There's still an awful lot of work to do on this [independent contractor] issue," FSI general counsel David Bellaire said.
July 26, 2021
SEC Slams 21 Advisors, 6 BDs Over Form CRS FailuresThe exam chief said in March that examiners "had identified hundreds of firms that we believed should have filed a Form CRS but didn't."