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 Poised to Bless Nasdaq Plan to Spur Diverse Corporate Boards
By Andrew Ramonas | Claire HaoThe SEC is expected to give initial, and potentially binding, approval of the proposal by Aug. 8.
July 28, 2021
Robinhood Under FINRA Investigation, AgainThe firm received a FINRA investigative request related to its CEO and co-founder not being registered.
July 28, 2021
New Bill Qualifies Accredited Investors by SEC ExamThe bill would allow more people with the expertise, but not the required income or wealth, to invest in private companies.
July 28, 2021
Financial Groups, Firms Push for a Biden Order on Retirement SecurityBiden should convene cabinet leaders to address issues like Social Security, Medicare and LTC, the groups say.
July 27, 2021
Independent Contractor Status a 'Heavy Focus' for FSI Advocacy"There's still an awful lot of work to do on this [independent contractor] issue," FSI general counsel David Bellaire said.
July 26, 2021
SEC Slams 21 Advisors, 6 BDs Over Form CRS FailuresThe exam chief said in March that examiners "had identified hundreds of firms that we believed should have filed a Form CRS but didn't."
July 26, 2021
All Eyes on Gensler to Define 'Best Interest' in SEC RuleSEC Chairman Gary Gensler will likely define the term as "many different audiences" await an answer, Blaine Aikin says.
July 23, 2021
As SEC Chairman Pushes His Attorneys, Some Are Choosing the DoorGary Gensler's propensity to break up handshake settlement deals has created some distrust with current staff, sources say.