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: ACA's Di Florio on How Tech Is Crucial Tool in Regulators' Arsenal
By Melanie Waddell Melanie WaddellIn episode #7 of our Human Capital podcast, ThinkAdvisor talks with Carlo di Florio, global chief services officer for ACA Compliance Group.
January 21, 2020
Lawmakers Scold SEC's Clayton Over Committees' Lack of DiversityMeanwhile, here's what SEC commissioners hope the new asset management advisory committee will focus on.
January 17, 2020
Cautionary Tales From the SEC 2019 Annual ReportPlus, what to expect from the regulator going forward.
January 16, 2020
SEC Taps First Chief Data OfficerAustin Gerig will help the agency use data analytics to support enforcement and exams, as well as to protect investor data.
January 16, 2020
SEC Commissioner Robert Jackson to DepartThe Democratic commissioner will leave his post on Feb. 14.
January 15, 2020
J.P. Morgan Securities to Pay SEC $1.5M for Share Class ViolationsThe brokerage firm failed to provide retail retirement account and charity customers with sales charge waivers and lower-fee share classes.
January 13, 2020
SEC Releases FAQ on Reg BI ComplianceThe FAQ states that Form CRS will not satisfy a broker's Regulation Best Interest disclosure obligations and sets out which products are covered by the rule.
January 10, 2020
Retail Investors Overwhelmingly Support Proposed SEC Proxy Changes: SurveyA market research group found that most of the SEC's proposed changes are supported by more than 70% of investors.