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.
SEC Sues Morningstar's Former Credit Ratings Agency
By Bernice NapachThe lawsuit alleges Morningstar Credit Ratings violated disclosure and internal control provisions of federal law in CMBS ratings.
February 04, 2021
GPB Capital CEO, 2 Others Arrested in Scheme That Bilked 17,000 InvestorsThe SEC and seven state securities agencies also filed regulatory actions tied to the $1.7 billion scheme.
February 02, 2021
SEC Creates New Senior Role Focused on Climate Change, ESGSatyam Khanna, a former counsel to ex-Commissioner Robert Jackson, will be the agency's first senior policy advisor on climate and ESG.
February 01, 2021
States Move to Probe GameStop Trading, Brokerage IssuesTexas Attorney General Ken Paxton issues civil investigative demands to Robinhood, Interactive Brokers, TD Ameritrade, E-Trade and other firms.
February 01, 2021
Lawmakers to Hold Hearings on GameStop TradingSen. Warren wants SEC's Lee to answer questions by Friday; the GameStop incident could speed Gensler's confirmation as SEC chair.
January 29, 2021
'Crowdsourced Lulz' Are Probably Not Securities FraudThe SEC will have a tough row to hoe in any action on GameStop trading unless it can find false statements made with fraudulent intent.
January 28, 2021
Fiduciary Advocates Call for Renaming SEC's Reg BIBrian Hamburger, Ron Rhoades and Knut Rostad say Gary Gensler, if confirmed as SEC chief, should rebrand the rule.
January 28, 2021
Advisor Advertising Rules Enter 21st CenturyThe SEC's new ad rule provides advisors many opportunities, as well as "requirements that may require more clarity," says IAA's Barr.