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 Staff Warns Against Mutual Funds That Own Bitcoin Futures
By Bernice NapachInvestors should consider the risks, the risk disclosure of funds and their own risk tolerance, the statement says.
May 06, 2021
SEC Will Enforce Reg BI to the Letter: GenslerBut if the rule isn't protecting investors, the commission will "update and freshen" it, he told lawmakers.
May 04, 2021
SEC Delays Bitcoin ETF ApprovalThe agency pushed off its decision on whether to approve a Bitcoin ETF for VanEck until at least June 17.
April 30, 2021
Barred Long Island Broker Charged in Pre-IPO Share ScamThe broker and his partner allegedly took $436,000 from investors who thought they were buying shares of Peloton, WeWork or Airbnb.
April 30, 2021
Has the SPAC Spigot Finally Run Dry?The days of 20 or 30 new SPACs each week may be behind us. And that isn't necessarily a bad thing, experts say.
April 28, 2021
SEC's New Enforcement Chief Resigns After Days in RoleHer conduct as a lawyer in an ExxonMobil civil case was called into question, Bloomberg reported.
April 26, 2021
Why Family Offices Are in SEC's CrosshairsIndustry officials weigh in on the Archegos meltdown, along with a review of a family office rule that's already on the regulatory agenda.
April 23, 2021
In Wake of Archegos Blowup, Will SEC Overstep?The SEC may try to compel more disclosure in ways that exceed its authority.