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 Calls for Review of Stock Trading Rules
By Bernice NapachGensler has asked staff for recommendations on best execution, Regulation NMS, payment for order flow and NBBO.
June 08, 2021
Target Date Funds: A 'Time Bomb' in a Retirement Tool for the Masses?The GAO will investigate target date funds. What does that mean for the multitrillion-dollar industry?
June 07, 2021
SEC Plans Hiring Push for Exams, Enforcement in 2022The SEC hopes to hire 65 people to cope with challenges like implementing Reg BI and examining the growing number of RIAs.
June 04, 2021
Trendspotter: Markets Are Evolving Faster Than the SEC"The SEC has not grown to meet the needs of the 2020s," like surges in SPACs, crypto and private equity, Chair Gary Gensler tells Congress.
June 04, 2021
Why SEC Actions Against CCOs Could Boost Bad BehaviorAnxiety around personal liability is leading CCOs to pull back from their firms or find other jobs, according to the New York Bar Association.
June 03, 2021
SEC Won't Enforce Trump-Era Rule on Proxy Advisory FirmsSEC Chairman Gary Gensler directed staff to review the rule and to consider whether further action is needed.
June 03, 2021
Dually Registered Firm Must Pay SEC $1.2M Over 12b-1 FeesCentaurus Financial breached its duty to seek best execution, the SEC said.
June 02, 2021
Ex-LPL Rep Pleads Guilty to Wire Fraud and Identity TheftThe barred broker allegedly misappropriated about $2.9 million from clients, according to the SEC and DOJ.