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.
Top DOL Official Sees a 'Nonsensical' Reality at Heart of Fiduciary Fight
By Melanie WaddellThe current state of best-interest regulation is too complicated for retirement investors to understand, says Ali Khawar.
October 02, 2024
TD Securities to Pay $28.5M to Resolve Spoofing AllegationsThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.
September 24, 2024
Barred Advisor Gets 21 Months in Prison for Cherry-PickingJonathan Glenn's unfair allocations of profitable trades defrauded clients of more than $2.7 million, authorities say.
September 24, 2024
Texting Crackdown a 'Cash Cow' for the SEC: Commissioner PeirceAt a congressional hearing, Peirce said the agency should be taking a regulatory approach instead of levying fines.
September 24, 2024
What RIAs Should Know About Data-Based MarketingAsset managers and investment banks use data-driven marketing to great effect. Experts say RIAs can do the same.
September 24, 2024
SEC Hits Stifel, Others With $88M in Texting FinesStifel and Invesco will each pay $35 million over off-channel communications.
September 23, 2024
JPMorgan Sued Over 'Shockingly' Low Interest on Client CashThe case follows several other proposed class actions over brokerages' cash sweep programs.
September 20, 2024
SEC Fines Firm for Not Inspecting AdvisorsJordan/Zalaznick Advisers failed to spot-check the books and records or conduct inspections of advisors it supervised.