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.
Will Trump Memo Slow Down SEC's Reg BI?
By Melanie WaddellA memo from the OMB states that major rules, like the SEC's best-interest rules, must be reviewed by Congress.
April 09, 2019
SEC OKs a Nontransparent Active ETF Strategy, but Will Investors Care?The approval could pave the way for an influx of such ETFs, but industry analysts aren't convinced about investor demand.
April 08, 2019
SEC 'Still Struggling' With Advisor Exam RateBut OCIE is "pushing forward on our priorities," exam chief Pete Driscoll says.
April 08, 2019
SEC Chief: Economic Analysis of SEC's Reg BI Will Be 'Robust'The final Reg BI package is "on our agenda to get done before September," Clayton said at SEC Speaks.
April 05, 2019
SEC Shuts Down Fake Advisor Who Targeted California Jews: EnforcementIn another action, the SEC charged a man with defrauding investors in a $3 million Christian concert scheme.
April 03, 2019
SEC Releases Digital Assets FrameworkThe SEC's FinHub sets out the staff's views on determining whether a digital asset is a security.
April 03, 2019
Trump Nominates New SEC CommissionerVeteran securities lawyer Allison Herren Lee would replace former SEC Commissioner Kara Stein, a Democrat.
April 01, 2019
SEC Delays Decision on 2 Bitcoin ETF FilingsThey are the Bitwise and VanEck SolidX Bitcoin ETFs.