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: Brian Hamburger Details Critical Aspects of SEC's 2020 Exam Priorities
By Melanie Waddell Melanie WaddellIn episode #6 of our Human Capital podcast, Brian Hamburger, CEO of MarketCounsel, digs into the SEC and other enforcement issues.
January 03, 2020
Kitces Is Confident That Lawsuits Will Squash Reg BIThe suit filed by Kitces' XY Planning Network is on track to be decided before the rule's June 30 compliance date.
January 02, 2020
SEC Asset Management Committee to Meet Jan. 14Meanwhile, comments are coming due on FINRA's plan to limit brokers as beneficiaries and pending arb claims.
December 30, 2019
SEC Floats Easing Auditor Independence RulesThe goal is to "modernize" rules concerning affiliates of auditor clients, it says.
December 26, 2019
Secure Act, Fiduciary Rules Set Up a Doozy of a Compliance YearMajor changes are afoot in the rules that govern advice-giving.
December 20, 2019
SEC Charges Advisor Who Hosted Radio Show With FraudKeith Springer of California hid his disciplinary history and the fact that he was paid to recommend certain investments, the SEC said.
December 19, 2019
MetLife Cleans Up SEC Financial Statement ProblemsThe company is paying a $10 million penalty, but it's not admitting the SEC's findings.
December 18, 2019
How Big Firms, Small Firms Are Preparing SEC's Form CRSAt FINRA's Reg BI event, panelists from Wells Fargo and a small broker-dealer compared their approaches.