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.
Have Fiduciary Standards Been 'Watered Down'? SEC's Clayton, Jackson Go Toe to Toe
By Melanie WaddellThe SEC chairman and the Democratic commissioner testified to Congress about the new advice-standards rules.
September 17, 2019
Raymond James to Pay $15M to SEC for Improper ChargesThree units improperly charged advisory fees on inactive client accounts and charged excess commissions for UITs, the SEC said.
September 16, 2019
Ex-SEC Exam Chief di Florio Joins ACA Compliance GroupThe former SEC and FINRA official has become ACA's global chief services officer.
September 11, 2019
XY Planning Network Sues SEC Over Reg BI"Fiduciary competitiveness is being damaged" under Reg BI, XYPN co-founder Michael Kitces tells ThinkAdvisor.
September 10, 2019
8 Attorneys General Sue SEC Over Reg BIThe first lawsuit against Reg BI argues that it fails to institute a uniform fiduciary standard and goes against Dodd-Frank.
September 09, 2019
SEC's Clayton Still Troubled by Potential Manipulation of Bitcoin PricesIn a speech before the Economic Club of New York, Clayton also talked about swelling corporate debt, the end of Libor and Brexit.
September 06, 2019
Should SEC Resurrect Broad Punishments for Companies That Talk to Analysts?An August SEC Reg FD action could signal a resurgence of cases under the controversial rule and a re-examination of its constitutionality.
September 06, 2019
SEC Shuts Down $300M California Alcohol License Loan SchemeThe San Diego-based firm and its principal defrauded 50 retail investors, the SEC says.