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 Enforcement Actions Down 17% in 2020
By Melanie WaddellBut financial remedies ordered set a new high, according to the agency's enforcement chief.
October 28, 2020
SEC Issues Warning on Complex Investment ProductsExpanded access to self-directed accounts and complex investment products may require tighter controls, SEC officials said.
October 26, 2020
SEC Chief: Firms 'Meeting Their Obligations' on Reg BIBut some areas of Form CRS need improvement, Jay Clayton says.
October 20, 2020
ICI Names New CEOEric Pan will assume his new role on Nov. 9, succeeding the group's longtime leader, Paul Schott Stevens.
October 19, 2020
SEC Chief 'Cautiously Satisfied' With Reg BI but Seeing Some Troubling TrendsThe SEC chairman shared his views during an interview with SIFMA CEO Ken Bentsen at the association's virtual event.
October 13, 2020
Kitces: Rumors of Reg BI's Death Under Biden May Be ExaggeratedA new administration may not have the "appetite" for new rules but could reinterpret existing ones, the XY Planning co-founder says.
October 13, 2020
Ric Edelman's Crypto Council Buys Events Group, Names Inside ETFs Co-Founder PresidentThe RIA Digital Assets Council has acquired JV Events Group and plans to hold a virtual conference in March.
October 12, 2020
SEC Clarifies Form CRS Rules on Reporting Disciplinary HistoryThe clarification follows a report that at least 1,300 firms failed to report disciplinary or legal events on the form.