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.
Borzi: DOL Should Not Defer to SEC's Reg BI
By Melanie WaddellIf it's adopted without major changes, the "industry continues its conflicted practices," the DOL fiduciary architect tells ThinkAdvisor.
February 15, 2019
Execs Face Up to 5 Years in Prison for Lying to SEC: EnforcementMeanwhile, the SEC canceled the registration of an internet-based RIA who failed for three years to launch a website.
February 12, 2019
SEC's Peirce on Reg BI: 'It's Important That We Move Forward'At a Bipartisan Policy Center event, Peirce also cautions about the SEC's stance on Bitcoin ETF approval.
February 08, 2019
Final SEC Reg BI Plan Likely in 3rd Quarter, Says IAA ExecutiveNeil Simon, the Investment Adviser Association's top lobbyist, says that despite delays, "it's going to happen."
February 08, 2019
Court Grants Fraud Judgment Against Co-Owner of Defunct Investment Advisor: EnforcementThe SEC also received judgements on actions involving a penny stock scheme and a fraud.
February 06, 2019
Ric Edelman to Cut Ties With BitwiseEdelman wants to avoid potential conflicts of interest with his clients that could arise in the future.
February 01, 2019
Stock Exchanges Fire CAT Contractor After DelaysFINRA is said to be taking control of the Consolidated Audit Trail project.
February 01, 2019
SEC Charges Advisor With Bilking Investors to Fund Lifestyle: EnforcementThe SEC also charged a real estate developer with an offering fraud that funded his luxury hunting ranch.