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.
Accredited Investor Definition, Custody Rule on SEC's 2020 Reg Agenda
By Melanie WaddellExpansion of the accredited investor definition is garnering mixed reviews.
November 19, 2019
SEC Chairman Cites Fishy Letters in Support of Proxy Policy ChangeLetters he brought up at a recent meeting were not from regular folks but from a misleading, and clumsy, PR campaign.
November 19, 2019
SEC Chairman Wants to Know: 'Have We Preserved Choice' in Reg BI?Clayton told attendees at SIFMA's annual meeting that he encourages the industry to ask questions about Reg BI implementation.
November 19, 2019
Ex-NFL Player Found Guilty of Defrauding Investors in Second TrialThe former Philadelphia Eagles linebacker's first conviction, with a 40-year prison sentence, was vacated on appeal and remanded to a lower court.
November 14, 2019
Human Capital: Compliance Guru Todd Cipperman Breaks Down SEC's New Ad RuleIn Episode #4 of our podcast, we talk with Cipperman, a go-to expert on all things compliance-related for advisors.
November 12, 2019
SEC Charges New York Advisor With Running Investment Club Ponzi SchemeThe scheme involved high-yield notes issued through a group called Amongst Friends, the SEC said.
November 12, 2019
SEC's Variable Annuity Prospectus Rule Likely by AprilThe VA summary prospectus has been long awaited.
November 08, 2019
Supreme Court to Consider SEC Disgorgement LimitsWhether the SEC has the authority to seek disgorgement in federal court will have a huge impact on the industry.