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.
Series Trusts Are in SEC's Exam Crosshairs
By Todd Cipperman | Dianne DescoteauxWeak board oversight and flimsy compliance have tarnished the reputations of several series trust and fund managers.
February 25, 2020
SEC Releases Updated List of Fake Regulators, Deceptive FirmsThe latest list adds four fictitious regulators and 25 soliciting entities making false claims.
February 24, 2020
Reg BI Compliance Race Is OnFirms have 'no choice' but to comply; new Form CRS challenges surface for dual registrants.
February 21, 2020
Wells Fargo to Pay $3B to DOJ, SEC Over Fake AccountsThe bank was charged with fraud and misleading investors about its cross-selling results from 2002 to 2016.
February 21, 2020
Human Capital: Stradley Ronon's Gerstein Dissects State Fiduciary Rule RaceIn episode #9 of our Human Capital podcast, George Michael Gerstein tell us the latest on where the states' fiduciary rules stand.
February 18, 2020
SEC Aims to Shake Up Exchanges' Market Data DominationIn effect, its proposal would replace the "exclusive" model with a decentralized model of "competing consolidators."
February 14, 2020
Barred CCO Had 'Complete Lack of Qualifications' for the JobA federal judge says the CCO acted recklessly and helped a Chicago-area firm commingle funds.
February 13, 2020
SEC Issues Updated FAQs on Reg BI, Form CRSThe FAQs address accredited investors, dual registrants and affiliate relationships.