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.
'Specificity' Advised for RIAs in Wake of SEC Self-Reporting Initiative
By Nick ThorntonAttorneys discuss language used in Form ADV filings.
April 12, 2019
Ex-Radio Host Craig Carton Sentenced to Prison in 'Hamilton' Ticket Scheme: EnforcementMeanwhile, a lawyer for SeaWorld was charged with insider trading.
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.