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.
Gensler Talks GameStop Volatility at SEC Nomination Hearing
By Melanie WaddellIssues such as best execution, trading apps and payment for order flow need review in light of the recent trading frenzy, he says.
March 01, 2021
Gensler to Stress 'Clear Rules of the Road' at SEC Nomination HearingIn his prepared testimony, Gensler also says "markets — and technology — are always changing. Our rules have to change along with them."
February 26, 2021
SEC Halts Trading in 15 Companies Due to Social Media ActivityThe regulator is responding to "potential attempts to exploit investors during the recent market volatility," it says.
February 25, 2021
SEC Amps Up Reg BI Exams"Good-faith" compliance efforts are no longer enough, an SEC exam official warns.
February 25, 2021
Reddit GameStop Squeeze Is a Game ChangerOne outcome of the GameStop incident could be the SEC moving to a T+1 settlement date for securities transactions.
February 23, 2021
Senate Panel Sets Date for Gensler SEC Nomination HearingThe Reddit GameStop squeeze will likely be front and center for Gensler's SEC.
February 22, 2021
Samantha Russell: How to Leverage SEC's 'Game-Changing' New Ad RuleThe marketing whiz tells ThinkAdvisor how RIAs can use testimonials once the rule goes into effect in May.
February 21, 2021
What's on Gary Gensler's To-Do List?GameStop, Reg BI, a Bitcoin ETF ... the list goes on for the SEC chair nominee. Industry experts read the tea leaves on which comes first.