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.
Cantor Fitzgerald, BMO Capital Hit by SEC for Improper Handling of ADRs
By Melanie WaddellThe SEC orders find that both Cantor and BMO improperly obtained pre-released ADRs indirectly from other broker-dealers.
August 14, 2019
Should the SEC Loosen Quarterly Reporting Requirements?A CFA Institute report based on surveys of analysts and portfolio managers opposes the idea.
August 09, 2019
SEC Lets Symetra Put Insurance-Style Financial Statements in Annuity FilingsThe new letter ruling continues an SEC shift that could make annuities cheaper for issuers to administer.
August 09, 2019
The SEC Investment Adviser Standard of Conduct: A BreakdownThis is the second in a series of columns summarizing the SEC's new conduct standards.
July 31, 2019
Wall Street's Top Watchdog Seeks Help to Muzzle a Mystery TrollThe reputation consultant's duties will include monitoring content about the SEC's vaunted enforcement division on the web and removing anything that's "false or harmful."
July 24, 2019
RIAs Fail to Vet, Disclose Advisors' Discipline History: SECA new risk alert reveals findings of 50 exams conducted of RIAs employing people with a history of disciplinary events.
July 19, 2019
Reg BI Footnote Justifies Pausing SEC Share Class Disclosure InitiativeFootnote 60 reveals an agency that is seeking to paper the record after failing to make its expectations clear around 12b-1 fees.
July 18, 2019
Trump to Nominate Eugene Scalia as New Labor SecretaryGibson Dunn attorney Scalia, son of deceased Justice Antonin Scalia, argued against Labor's fiduciary rule last year.