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.
Reddit GameStop Incident Could Spur Move to T+1
By Melanie WaddellRobinhood's CEO is pushing for a shorter trade settlement cycle, but it's not a quick change for the industry to make.
February 01, 2021
States Move to Probe GameStop Trading, Brokerage IssuesTexas Attorney General Ken Paxton issues civil investigative demands to Robinhood, Interactive Brokers, TD Ameritrade, E-Trade and other firms.
February 01, 2021
Lawmakers to Hold Hearings on GameStop TradingSen. Warren wants SEC's Lee to answer questions by Friday; the GameStop incident could speed Gensler's confirmation as SEC chair.
January 29, 2021
'Crowdsourced Lulz' Are Probably Not Securities FraudThe SEC will have a tough row to hoe in any action on GameStop trading unless it can find false statements made with fraudulent intent.
January 28, 2021
Fiduciary Advocates Call for Renaming SEC's Reg BIBrian Hamburger, Ron Rhoades and Knut Rostad say Gary Gensler, if confirmed as SEC chief, should rebrand the rule.
January 28, 2021
Advisor Advertising Rules Enter 21st CenturyThe SEC's new ad rule provides advisors many opportunities, as well as "requirements that may require more clarity," says IAA's Barr.
January 28, 2021
Biden Fills Out Economic Team, Picking Boston Mayor to Head LaborA revamped Labor fiduciary rule as well as the SEC's Reg BI could be on tap in the New Year.
January 28, 2021
How Advisors Can Use Client Testimonials Under New SEC RuleAdvisors can now use client reviews in their marketing, but they should use caution, lawyers say.