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.
Alex Oh Named SEC Enforcement Chief
By Mike ScarcellaShe "has the expertise as a highly respected lawyer to ensure that the SEC protects investors," SEC Chairman Gary Gensler said.
April 19, 2021
SEC Chair Gensler Picks Former AFL-CIO Policy Director as a Top AdvisorGensler's policy director, Heather Slavkin Corzo, has worked for AFL-CIO, PRI and Americans for Financial Reform.
April 19, 2021
Gary Gensler Sworn In as SEC ChairmanSEC Commissioner Hester Peirce said she hopes to work with Gensler on building a regulatory framework for cryptocurrency.
April 16, 2021
Reg BI Exams' Scope Has Been Expanded: FINRA's Cook"Going forward, we're really expecting nothing shorter than compliance with the rule," the FINRA CEO says.
April 16, 2021
Why Bitcoin Bull Boneparth Is Waiting for a Crypto ETFA Bitcoin ETF would remove many obstacles to recommending the cryptocurrency to clients, the advisor says.
April 14, 2021
Form U5 a Top Trigger of FINRA InvestigationsFINRA brings about 700-800 disciplinary actions a year after looking into more than 25,000 cases, the president of its crime detection unit says.
April 14, 2021
Gensler's SEC Can Bring Regulatory Clarity to Digital AssetsThe new SEC chair recognized in his Senate confirmation hearing that Bitcoin has been deemed a commodity.
April 14, 2021
Senate Confirms Gary Gensler as SEC ChairSenators voted 53-45 to confirm Gensler, a former CFTC chief and MIT professor.