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.
CFA Counsel Hauptman Joins SEC Commissioner Crenshaw's Office
By Melanie Waddell"Commissioner Crenshaw is getting one of the most talented, dedicated, thoughtful staffers around," Barbara Roper tweeted.
September 03, 2020
Firm Tied to Woodbridge Ponzi Scheme Settles With SECSexton Advisory Group and its CEO were charged with making illegal securities sales.
September 02, 2020
Firms Failing to Report Advisors' Disciplinary Histories on Form CRS: WSJThe Journal said it found about 2,300 employees with disclosures that their firms didn't report on the form.
August 31, 2020
Robinhood's Dark Side: Irate Traders, U.S. ProbeOver the first half of 2020, consumer protection agencies received 400-plus complaints about Robinhood -- roughly four times more than rivals like Schwab and Fidelity.
August 28, 2020
Advisor Ad Rule Changes Coming in October: SECThe commission will take up changes to investment advisor advertising and solicitation rules.
August 26, 2020
SEC's New Accredited Investor Definition Gets Mixed ResponseSome industry players cheered the expansion, while others said it didn't go far enough.
August 26, 2020
Advisor Allegedly Fast With $2M of Client Funds Makes SEC FuriousMark J. Boucher allegedly created false accounts and said that buying a car with a client's money was "a simple mistake."
August 26, 2020
SEC Expands Accredited Investor Definition"We do not believe wealth should be the sole means of establishing financial sophistication," the SEC said.