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.
How Big Firms, Small Firms Are Preparing SEC's Form CRS
By Melanie WaddellAt FINRA's Reg BI event, panelists from Wells Fargo and a small broker-dealer compared their approaches.
December 10, 2019
Ex-Congressman, Others Settle With SEC Over Insider TradingAs a result, former Rep. Christopher Collins will be barred from acting as an officer or director of any public company.
December 06, 2019
Industry Needs Clarity on Reg BI: SEC CommissionersSEC Commissioner Allison Herren Lee is "staying riveted" on agency FAQs, as they are "early interpretations" and "potential enforcement attempts."
December 05, 2019
Human Capital: Investor Advocate Barbara Roper Doesn't Mince Words on SEC RulesIn Episode #5 of our Human Capital podcast, Roper tells what she thinks is wrong with Reg BI.
December 04, 2019
Securities Markets Face Multiple Challenges, Experts Warn at SEC ConferenceGary Cohn and others cited ongoing trade war, political uncertainty, climate change, cyber risk as main problems.
December 03, 2019
SEC's FAQ on Form CRS Draws Advisor ComplaintsRIAs and BDs are only allowed to prepare one Form CRS to explain multiple products and services.
December 02, 2019
SEC Names Littman to Head Cyber UnitLittman, who's served as senior advisor to SEC Chairman Jay Clayton since August 2017, succeeds Robert Cohen.
November 27, 2019
SEC Revokes New York Advisor's Registration Over Fake-Loan SchemeInternational Investment Group made $60 million in fake loan sales and hid losses in its flagship hedge fund, SEC says.