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.
Human Capital: SEI's Anderson Sizes Up Likely Changes to SEC's Form CRS
By Melanie Waddell Melanie WaddellIn this episode, John Anderson talks about why Reg BI is just a "small step" toward a "true fiduciary rule."
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.
August 06, 2020
Senate Confirms Peirce, Crenshaw as SEC CommissionersThursday's vote ends the confirmation process, which began in June with their nominations by President Donald Trump.
August 05, 2020
Peirce, Crenshaw Get Senate Banking Committee Nod for SEC SeatsThe full Senate must now approve the two to be SEC commissioners.