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.
Rollovers, Revenue Sharing Could Be in Examiners' Sights: SEC's Peirce
By Melanie WaddellThe SEC commissioner discusses what advisors can expect from exams in terms of Reg BI compliance.
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.
April 14, 2021
Senate Confirms Gary Gensler as SEC ChairSenators voted 53-45 to confirm Gensler, a former CFTC chief and MIT professor.
April 14, 2021
Bernard Madoff, Mastermind of Giant Ponzi Scheme, Dies at 82The Manhattan investment adviser promised stellar returns to his A-list clients and instead defrauded them of more than $19 billion.