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.
Human Capital: SEC's Lee Zeroes in on SPACs
By Melanie WaddellWelcome back to Human Capital. I'm Melanie Waddell, ThinkAdvisor's Washington Bureau Chief. This week's hot topic was SPACs — special purpose acquisition…
March 10, 2021
Gensler SEC Nomination Advances to SenateThe Senate Banking Committee approved it by a 14-10 vote.
March 10, 2021
Gensler SEC Nomination to Get Senate Banking Vote TodayIf approved, Gensler's nomination will move to the full Senate.
March 05, 2021
SEC Ad Rule Published in Federal Register, Setting Effective DateThe rule becomes effective May 4.
March 05, 2021
SEC Fears Falling Behind on Advisor ExamsThe SEC's exam chief says it will be difficult to maintain last year's 15% exam rate in a "nutty year" for markets.
March 03, 2021
SEC's Top 6 Exam Priorities for 2021The scope of Reg BI exams will be expanded this year, the agency noted in its just-released exam priorities list.
March 02, 2021
Gensler Talks GameStop Volatility at SEC Nomination HearingIssues such as best execution, trading apps and payment for order flow need review in light of the recent trading frenzy, he says.
March 02, 2021
SEC Issues Alert Over Digital Securities SalesAs offerings and transactions involving cryptocurrencies expand, questions remain about what constitutes a digital security.