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.
Take Care on Form ADV Extensions, Check Details on Form CRS
By Thomas D. GiachettiAdvisors must file the Customer Relationship Summary disclosure document from May 1 through June 30, 2020.
March 24, 2020
Final Judgment Entered Against NFL Player for Insider TradingSEC had charged linebacker Mychal Kendricks with trading on illegal tips.
March 24, 2020
SEC Provides Temporary Flexibility to Funds Hurt by Coronavirus CrisisThe relief is intended to provide funds with added tools to manage portfolios, the regulator says.
March 20, 2020
Human Capital: FrontLine Compliance's Lynch Details Regulatory Relief Due to CoronavirusIn episode #11 of our podcast, Amy Lynch talks about SEC and FINRA regulatory relief as the coronavirus wreaks havoc.
March 16, 2020
SEC, Nasdaq Chiefs Say Markets Can Handle Volatility, Should Stay OpenThe markets are functioning well, SEC Chairman Jay Clayton says. But strategist Jim Bianco says failure to act could mean bigger disruptions later.
March 12, 2020
SEC Gets Final Judgment Against Ex-Morgan Stanley, Wells Fargo RepThe former broker had pleaded guilty to swindling more than $1.6 million from customers.
March 11, 2020
SEC Rule on Variable Annuity Summary Prospectus Is FinalNew rule permits use of a concise, reader-friendly prospectus designed to improve investors' understanding of the contracts' features, fees and risks.
March 11, 2020
GOP Lawmakers Back Reg BI in Court BattleThe rule "balances many competing considerations," they said in an amicus brief.