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.
Massachusetts BD to Pay $450K Over 12b-1 Fees
By Jeff BermanThe BD also used its principal trading account to engage in self-dealing, the SEC says.
February 25, 2021
SEC Amps Up Reg BI Exams"Good-faith" compliance efforts are no longer enough, an SEC exam official warns.
February 25, 2021
Reddit GameStop Squeeze Is a Game ChangerOne outcome of the GameStop incident could be the SEC moving to a T+1 settlement date for securities transactions.
February 23, 2021
Senate Panel Sets Date for Gensler SEC Nomination HearingThe Reddit GameStop squeeze will likely be front and center for Gensler's SEC.
February 22, 2021
Samantha Russell: How to Leverage SEC's 'Game-Changing' New Ad RuleThe marketing whiz tells ThinkAdvisor how RIAs can use testimonials once the rule goes into effect in May.
February 21, 2021
What's on Gary Gensler's To-Do List?GameStop, Reg BI, a Bitcoin ETF ... the list goes on for the SEC chair nominee. Industry experts read the tea leaves on which comes first.
February 17, 2021
SEC Sues Morningstar's Former Credit Ratings AgencyThe lawsuit alleges Morningstar Credit Ratings violated disclosure and internal control provisions of federal law in CMBS ratings.
February 09, 2021
SEC's Acting Chair Gives Senior Officers Subpoena PowerThe move, intended to speed investigations, could be connected to the GameStop squeeze.