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 to Take Up Long-Awaited Accredited Investor Definition Changes
By Melanie WaddellAnna Pinedo, partner with Mayer Brown, expects one change will be that various FINRA broker-dealer licenses will be added regardless of net income/net worth.
August 20, 2020
Biggest Oil Fund and Its CEO Face Impending SEC ActionThe SEC has issued the United States Oil Fund ETF, known as USO, a Wells Notice.
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.