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 Chairman Clayton to Step Down
By Melanie WaddellClayton advanced more than 65 final rules, including his signature Regulation Best Interest.
November 10, 2020
The Advisory Industry in 2020: A SnapshotThe number of SEC-registered advisors grew almost 4% since 2019, an IAA and NRS report shows.
November 10, 2020
How New SEC Proxy Voting Rules Affect AdvisorsRevised amendments mean advisors who proxy vote or work with proxy advisors need to be careful.
November 10, 2020
Deciphering 'Best Interest' in Reg BIIndustry officials of all stripes continue to scratch their heads about the term as they attempt to comply.
November 05, 2020
SEC Asset Management Committee Taps Tibergien's ReplacementLaRoche-Morris is BNY Mellon Investment Management's chief operating officer.
November 04, 2020
Fake Advisor Calling Himself 'Dr. Cash' Arrested for Securities FraudThe unregistered advisor allegedly scammed investors using a fictitious fund, according to the SEC and U.S. Attorney's Office.
November 02, 2020
SEC Enforcement Actions Down 17% in 2020But financial remedies ordered set a new high, according to the agency's enforcement chief.
October 30, 2020
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs InToo much liability could discourage talented people from working in compliance, the SEC commissioner says.