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 Slaps BD for Failing to File Suspicious Activity Reports
By Melanie WaddellThe BD failed to file SARs related to external bad actors' attempts to gain access to the retirement accounts of individual plan participants.
May 10, 2021
SEC's Gensler: Crypto Trading Needs More Federal OversightGensler will talk with Congress about authorizing a federal regulatory regime to oversee cryptocurrency exchanges, he told CNBC.
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.