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 to Vote on Long-Awaited Ad Rule Changes Next Week
By Melanie WaddellIAA is pleased that the SEC will be able to adopt modernized rules before year-end, CEO Karen Barr said.
December 02, 2020
Advisor Barred, Coughs Up $1M for Misleading ClientsCalifornia advisor was accused of concealing conflicts of interest from clients while persuading them to invest some $3 million with his companies.
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.