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 Plan to Limit Fund-of-Fund Redemptions Gets Heat From Fund Industry
By Melanie WaddellThe planned restrictions "could harm funds of funds and their shareholders — including target-date funds," ICI's Stevens said.
May 01, 2019
Robare Group Decision Highlights Importance of Form ADV DisclosuresAn appeals court agreed Tuesday with the SEC's view that Robare fell short on conflicts of interest disclosure.
April 30, 2019
Roundup: SEC Advice Package, New SEC Nominee, IRS Makeover, and Big Bank CEOs on the HillSEC chief Clayton promises "robust" economic analysis of Reg BI, while Rep. Waters probes bank CEOs on their downsizing efforts.
April 29, 2019
SEC Senior Task Force Would Consult With Insurance RegulatorsH.R. 1876 would also have the SEC arm talk to state securities and law enforcement officials.
April 29, 2019
2019 IA25 Political WinnersHere are this year's top vote getters in the field of politics, regulation and compliance.
April 26, 2019
FINRA Hits BD for Reps' Excessive and Unsuitable Trading: EnforcementIn another enforcement action, the SEC charged a sales assistant with taking funds from brokerage customers.
April 25, 2019
SEC Extends BDs' Compliance Deadline With Amended Reg NMSBroker-dealers told the agency they need more time beyond the May 20 deadline.
April 19, 2019
'Specificity' Advised for RIAs in Wake of SEC Self-Reporting InitiativeAttorneys discuss language used in Form ADV filings.