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.
How Advisors Can Use Client Testimonials Under New SEC Rule
By Jeff BermanAdvisors can now use client reviews in their marketing, but they should use caution, lawyers say.
January 22, 2021
SEC Charges Father-Son Team With Defrauding ClientsAdvisors allegedly concealed from clients that the father wasn't associated with an RIA and used clearing services without authorization.
January 21, 2021
Biden Names Lee Acting SEC ChairDemocrat Allison Herren Lee will serve as acting chair until Biden's pick to head the SEC, Gary Gensler, is officially confirmed by the Senate.
January 19, 2021
Defining 'Best Interest' Will Be a Priority for Gensler's SEC"I can't think of anyone better qualified than Gary" to lead the SEC, former Chairman Arthur Levitt tells ThinkAdvisor.
January 13, 2021
Lawyer Sues SEC Over New Whistleblower RulesThe rules turn SEC "into a casino," promising large "jackpots" but reserving the right to cut payouts, Jordan Thomas says.
January 06, 2021
Under Trump Order, SEC Warns of Investments in Chinese Military CompaniesBeginning on Jan. 11, U.S. persons will be prohibited from transacting in certain securities and derivatives of these companies.
January 04, 2021
SEC's Investor Advocate Decries Deregulatory Agenda Under ClaytonEfforts to "modernize" or "streamline" rules hurt investors, Investor Advocate Rick Fleming says in his year-end report to Congress.
January 04, 2021
SEC Says Some BDs Can Custody Digital AssetsThe "federal acquiescence to (if not outright approval of) digital assets will continue," predicts Ric Edelman.