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.
Wisconsin Securities Regulator Joins SEC Investor Advisory Committee
By Melanie WaddellThe committee added Leslie Van Buskirk and seven other members.
November 23, 2020
SEC Examined 15% of RIAs Despite Pandemic: DriscollThe Securities and Exchange Commission's exam division conducted more than 2,950 examinations in fiscal year 2020.
November 19, 2020
What to Expect From the SEC Under BidenBiden will likely pick an SEC chair more in the vein of former SEC Chairwoman Mary Jo White than Jay Clayton.
November 19, 2020
SEC: Compliance Officers Need More AuthorityA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.
November 17, 2020
SEC Warns RIAs and BDs About Complex ETPsThe warning comes shortly after five BDs agreed to pay $3 million over unsuitable sales of these risky products.
November 17, 2020
'One Bad Rule After Another': Top Democrat Takes SEC's Clayton to Task"It doesn't seem like you have any way to tell if this rule will help at all," Sen. Sherrod Brown said of Reg BI.
November 17, 2020
Advisor Group, Cetera and Other BDs to Pay $3M Over Sales of Risky ETPsThe firms' reps made unsuitable recommendations of volatility-linked products, the SEC said.
November 16, 2020
Advisor Hunted by FBI Now Faces SEC ChargesThe advisor, missing since September, also faces a class-action suit and an IRS investigation.