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 Group, Cetera and Other BDs to Pay $3M Over Sales of Risky ETPs
By Jeff BermanThe firms' reps made unsuitable recommendations of volatility-linked products, the SEC said.
November 13, 2020
Human Capital: IAA's Karen Barr on SEC Rules Nearing the Finish LineIn this episode, we talk with the IAA president and CEO about changes to the SEC's custody rule and others that advisors should know about.
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.