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.
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July 29, 2020
SEC Creates New Emerging Threats Exam TeamThe new team, housed within the exam unit, "will proactively engage with financial firms about emerging threats and current market events."
July 28, 2020
AIG Unit to Pay $40M Over 12b-1, Referral Fees Tied to Teacher Pensions"Too often educators are targeted with misconduct related to their investments," said SEC Chairman Jay Clayton.
July 27, 2020
SEC Slams Ex-Broker for Misappropriating $1.15M of Seniors' FundsThe former American Portfolios Financial Services rep deposited clients' money into his own account rather than invest it, the regulator said.
July 23, 2020
Does New SEC Proxy Guidance Complicate Voting for Advisors?The agency passed new rules for proxy advisory firms, but also set down fiduciary instructions for advisors.
July 23, 2020
Ex-Morgan Stanley IT Expert Files Whistleblower Suit Against Autonomy CapitalThe investment management firm's cybersecurity systems had "massive holes," the fired exec said in the suit.
July 22, 2020
CFP Board Standards vs. Reg BI: A Chart Prompts Industry ChatterMichael Kitces sparks debate on a CFP Board comparison of the two sets of standards.
July 21, 2020
Advisors Who Took PPP Loans May Face SEC ScrutinyAn advisory firm certifying that it needs financial assistance to continue operating is likely to raise regulators' eyebrows.