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.
GE Puts SEC Long-Term Care Insurance Probe Behind It
By Allison BellGE agreed to pay a $200 million penalty, while the SEC consented to keep GE's reports on its controls nonpublic.
December 01, 2020
CFP Board Taps Ex-SEC Official for New Enforcement RoleThomas Sporkin will soon lead attorneys and legal staff in modernizing the group's detection, investigation and prosecution activities.
November 23, 2020
SEC Examined 15% of RIAs Despite Pandemic: DriscollThe Securities and Exchange Commission's exam division conducted more than 2,950 examinations in fiscal year 2020.
November 19, 2020
What to Expect From the SEC Under BidenBiden will likely pick an SEC chair more in the vein of former SEC Chairwoman Mary Jo White than Jay Clayton.
November 19, 2020
SEC: Compliance Officers Need More AuthorityA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.
November 17, 2020
SEC Warns RIAs and BDs About Complex ETPsThe warning comes shortly after five BDs agreed to pay $3 million over unsuitable sales of these risky products.
November 17, 2020
'One Bad Rule After Another': Top Democrat Takes SEC's Clayton to Task"It doesn't seem like you have any way to tell if this rule will help at all," Sen. Sherrod Brown said of Reg BI.
November 17, 2020
Advisor Group, Cetera and Other BDs to Pay $3M Over Sales of Risky ETPsThe firms' reps made unsuitable recommendations of volatility-linked products, the SEC said.