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.
Advisor Hunted by FBI Now Faces SEC Charges
By Jeff BermanThe advisor, missing since September, also faces a class-action suit and an IRS investigation.
November 13, 2020
Preet Bharara Floated as SEC Chief, Putting Wall Street on EdgeAnother candidate for the post, according to people familiar with the matter, is former SEC Commissioner Kara Stein.
November 10, 2020
The Advisory Industry in 2020: A SnapshotThe number of SEC-registered advisors grew almost 4% since 2019, an IAA and NRS report shows.
November 10, 2020
How New SEC Proxy Voting Rules Affect AdvisorsRevised amendments mean advisors who proxy vote or work with proxy advisors need to be careful.
November 10, 2020
Deciphering 'Best Interest' in Reg BIIndustry officials of all stripes continue to scratch their heads about the term as they attempt to comply.
November 05, 2020
SEC Asset Management Committee Taps Tibergien's ReplacementLaRoche-Morris is BNY Mellon Investment Management's chief operating officer.
November 04, 2020
Fake Advisor Calling Himself 'Dr. Cash' Arrested for Securities FraudThe unregistered advisor allegedly scammed investors using a fictitious fund, according to the SEC and U.S. Attorney's Office.
November 02, 2020
SEC Enforcement Actions Down 17% in 2020But financial remedies ordered set a new high, according to the agency's enforcement chief.