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 Warns Advisors on Ad Rule Compliance
By Melanie WaddellUntil firms transition to the amended marketing rule, advisors "need to remain compliant with the previous advertising and cash solicitation rules," said attorney Lundy.
March 23, 2021
Ex-Wife of Advisor Hunted By FBI Tells Him to Give UpThe Atlanta-area advisor went missing in September. "I had no idea who I was living with," his ex-wife says.
March 23, 2021
New Agenda Takes Hold in WashingtonNew leaders, along with new regulations and exam priorities, give advisors and broker-dealers a lot to review.
March 19, 2021
Human Capital: Susan Schroeder Says Reg BI Enforcement Actions LoomThe ex-FINRA enforcement chief also weighs in on what Gary Gensler's likely arrival at the SEC means for Reg BI.
March 18, 2021
Senate to Vote Thursday on Walsh DOL, Gensler SEC NominationsGensler is a former CFTC chief, and Walsh is the mayor of Boston.
March 17, 2021
Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief SaysA preview of Human Capital's interview with former FINRA enforcement chief Susan Schroeder.
March 16, 2021
The SEC Wants Your Input on Climate Change Disclosure Rules"Climate and ESG are front and center for the SEC," says the agency's acting chair, Allison Herren Lee.
March 15, 2021
SEC Charges Trader With Fraud Over False TweetsThe Irvine, California-based trader used Twitter and other channels to spread false information about a defunct company, the SEC says.