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.
Is There Magic in the Term 'Fiduciary'?
By Melanie WaddellTwo SEC officials, including Investment Management Director Dalia Blass, have differing opinions on this question.
June 27, 2019
SEC Busts $43M Tribal Bonds SchemeThe scheme looted pension funds and a Native American tribal corporation, the SEC said.
June 21, 2019
Ron Rhoades: SEC Reg BI Is 'Greatest Securities Fraud in History'The fiduciary law expert gives ThinkAdvisor a piece of his mind on the SEC's new best-interest rule.
June 21, 2019
Senate Confirms Lee as SEC CommissionerAllison Herren Lee, a Democrat, will serve a term expiring June 5, 2022.
June 20, 2019
No, RIAs Aren't Banned From Saying 'Fiduciary' on Form CRSThe SEC clarified after a wording change in the final version of the form raised some questions.
June 18, 2019
SEC Wants to Ease Access to Private Placements"We are taking a critical look at our exemptions from registration," said SEC Chairman Jay Clayton.
June 18, 2019
Wedbush Hit With $8.1M SEC Fine Over Improper Handling of ADRsWedbush improperly obtained pre-released ADRs from depositary banks, the SEC said.
June 17, 2019
KPMG to Pay $50 Million to SEC for Using Stolen Watchdog DataFive former KPMG employees were accused of interfering with PCAOB inspections.