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.
DOJ Scrutinizes Senators' Stock Sales After Virus Briefings: Reports
By Janet LevauxThe Justice Department, SEC and FBI are said to be in the process of reviewing Sen. Richard Burr's transactions.
March 25, 2020
Envestnet, CSS Launch Reg BI Tool for RIAs and BDsThe software pulls data from a firm's SEC and FINRA filings to complete Form CRS.
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.