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.
5 Ways New Compliance Systems Can Help Life Insurers
By Allison BellNice Actimize's Lee Garf says having a compliance system listen all the time beats live-human spot checks.
August 25, 2021
Northwest Advisors Hit With SEC Fine Over 12b-1, Wrap FeesAdvisory clients paid excess fees on their investments.
August 24, 2021
SEC Steps Up Chinese IPO Reporting RulesThe agency has begun to issue new reporting requirements for Chinese companies that want to list on U.S. exchanges.
August 20, 2021
SEC Charges San Antonio Advisor in $58M Investment ScamThe advisor used investor funds to pay for personal expenses including two weddings and a divorce, the SEC says.
August 19, 2021
SEC Fines ISC Advisors Over 12b-1 FeesThe advisory firm "failed to provide full and fair disclosure of these payments and the resulting conflicts of interest."
August 19, 2021
SEC Bars Ex-LPL Rep Who Stole More Than $600K From Retired ClientThe ex-LPL broker pleaded guilty to one count of wire fraud in May.
August 19, 2021
SEC Fines Robo-Advisor SoFi Wealth Over ETF ConflictsThe firm left some clients with taxable gains as it moved them into proprietary funds, the SEC said.
August 18, 2021
SEC Orders Advisory Firm to Pay $9M Over Short SalesAdvisory firm Murchinson, its principal officer and trader caused brokers to violate Regulation SHO rules, the SEC alleged.