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.
GOP Lawmakers Back Reg BI in Court Battle
By Melanie WaddellThe rule "balances many competing considerations," they said in an amicus brief.
March 06, 2020
Heads Up! Slew of SEC Risk Alerts on Their Way, Exam Chief WarnsThese alerts will tell advisors what to expect from exams on Reg BI, use of client data and other matters.
March 06, 2020
SEC Charges 3 More Sales Agents in Woodbridge CaseCalifornia-based agents made more than $2.75 million selling Woodbridge securities in unregistered transactions, the SEC says.
March 05, 2020
SEC Issues Relief to Fund Boards in Light of CoronavirusRelief extends to board meetings held from now to June 15, but that could be extended, SEC IM director Blass said.
March 05, 2020
SEC Commissioner Lee Sees Trouble Spots in Ad Rule PlanThe rule's principles-based approach could be tricky for firms to follow, Allison Herren Lee said at a conference.
March 04, 2020
SEC Targets One More Suspect in $345M SchemeThe SEC filed a subpoena enforcement action against another person believed to be involved in bilking pro athletes and advisors.
March 03, 2020
Advisors to Cough Up $564K for Undisclosed Conflicts of InterestIn separate actions, SEC charged two advisors over their connections to Aequitas Management.
March 02, 2020
SEC Charges Bogus Brokers With FraudThe team made commissions totaling more than $3.5 million in securities offerings, the regulator says.