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.
Morgan Stanley Hit With $1.5M SEC Penalty Over Faulty Share Class Calculator
By Melanie WaddellThe calculator experienced errors, causing the BD not to provide optimal share classes for retirement and charity accounts.
November 04, 2019
SEC's Newest Whistleblower Charges Spotlight Investors as Potential TipstersJane Norberg, the chief of the SEC's whistleblower office, said, "Anyone who seeks to report potential securities law violations to the commission," is protected.
November 01, 2019
SEC Readies Updates to RIA Ad RulesThe Advertising Rule "hasn't been significantly amended since 1961 — long before social media," said Investment Adviser Association President & CEO Karen Barr.
November 01, 2019
SEC Takes Aim at Proxy VotingESG supporters fear the move will thwart efforts to push companies toward more transparent reporting and better behavior.
October 30, 2019
Human Capital: Norm Champ, Ex-SEC IM Director, Takes on Financial LiteracyOn Episode #3 of Human Capital podcast, Champ discusses the pending economic crisis, as well as the financial literacy crisis.
October 29, 2019
SEC Presses Ahead in 12b-1 Fee CrackdownMeanwhile, FSI says it will continue to push for an end to the SEC initiative.
October 24, 2019
SEC to Continue Private Funds Focus in 2020The Retail Strategy Task Force has been "very effective," says SEC's Adam Aderton.
October 18, 2019
SEC's 'Solely Incidental' Broker-Dealer Exclusion: A BreakdownAn attorney looks at the interpretation of this exclusion that was approved as part of the SEC's advice-standards package.