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.
SEC Asks About Changing Accredited Investor Rule; Comments Pour In
By Ginger SzalaCommenters ranging from individual investors to the world's largest asset manager said their piece.
September 20, 2019
SEC Commissioner: Time to Reassess BD Best Execution ObligationsThe commission should "consider whether minor adjustments or more significant changes are appropriate" for the Order Protection Rule, he said at a SIFMA event.
September 20, 2019
Kitces Addresses Concerns on XY Planning's Rapid GrowthIn an interview with ThinkAdvisor, Michael Kitces also discussed the network's lawsuit against Reg BI.
September 17, 2019
Raymond James to Pay $15M to SEC for Improper ChargesThree units improperly charged advisory fees on inactive client accounts and charged excess commissions for UITs, the SEC said.
September 16, 2019
Ex-SEC Exam Chief di Florio Joins ACA Compliance GroupThe former SEC and FINRA official has become ACA's global chief services officer.
September 11, 2019
XY Planning Network Sues SEC Over Reg BI"Fiduciary competitiveness is being damaged" under Reg BI, XYPN co-founder Michael Kitces tells ThinkAdvisor.
September 10, 2019
8 Attorneys General Sue SEC Over Reg BIThe first lawsuit against Reg BI argues that it fails to institute a uniform fiduciary standard and goes against Dodd-Frank.
September 09, 2019
SEC's Clayton Still Troubled by Potential Manipulation of Bitcoin PricesIn a speech before the Economic Club of New York, Clayton also talked about swelling corporate debt, the end of Libor and Brexit.