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.
Prepping for SEC Reg BI Exams: What 'Good-Faith' Compliance Efforts Look Like
By Rebecca BeersRegulators won't demand perfect compliance right away, but firms need to show that they're working to disclose and mitigate conflicts.
August 19, 2020
6 Form CRS Facts Advisors Should Keep in Mind: RIA in a BoxMost advisors seem to have filed Form CRS by the SEC's June 30 deadline, and some have made edits since then.
August 18, 2020
3 Reasons the SEC's Latest Shareholder Proposal May Be a Game-ChangerSimplifying the information and reducing redundancy in mutual fund docs are the right steps by the regulator.
August 17, 2020
Peirce, Crenshaw Sworn In as SEC CommissionersBoth women were unanimously confirmed by the Senate on Aug. 6.
August 14, 2020
12b-1 Fees Still on SEC's Radar as SCF Agrees to Repay $567KRegulator says the RIA also will pay a fine of $200,000 to settle issues tied to funds with undisclosed revenue and higher costs.
August 07, 2020
SEC Proposing 'Complete Overhaul' of Fund Disclosures: ReportPossible changes would affect mutual fund and ETF prospectuses, annual reports and advertising.
August 07, 2020
Brace for More SEC Muni Advisor Antifraud ActionsSEC hasn't taken enforcement action against a municipal advisor in over a year, but that situation could change very soon.
August 06, 2020
Senate Confirms Peirce, Crenshaw as SEC CommissionersThursday's vote ends the confirmation process, which began in June with their nominations by President Donald Trump.