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.
In Wake of Archegos Blowup, Will SEC Overstep?
By Nicolas MorganThe SEC may try to compel more disclosure in ways that exceed its authority.
April 20, 2021
Consumer Group Presses SEC's Gensler to Define 'Best Interest'Spelling out this definition is the only way to ensure Reg BI has any teeth, consumer advocate Barbara Roper says.
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.