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.
SEC's In-House Judge System Denies Access to Juries
By Nicolas MorganA Supreme Court ruling changed the way ALJs are appointed, but the fairness of the system itself has gone unaddressed.
June 06, 2019
Life and Annuity Groups Give SEC's Final Best-Interest Standard Mixed ReviewsThe ACLI and NAIFA are praising Reg BI. AALU has concerns. IRI is reading.
June 05, 2019
Cheers, Jeers for SEC's New Advice-Standards RulesSIFMA said compliance would be difficult but worthwhile; Democratic lawmakers blasted the rules as inadequate.
June 04, 2019
Will Reg BI Be Hammered by Lawsuits?Consumer advocate Barbara Roper thinks the rule "will have a very short shelf life."
June 03, 2019
SEC Names CIA Veteran Zerrusen to Cybersecurity PostKevin Zerrusen has been named to serve as Chairman Jay Clayton's senior advisor for cybersecurity policy.
June 03, 2019
SEC Takes Emergency Action to Halt College Ponzi SchemeThe fraud was conducted by a recent graduate from a fraternity house near the University of Georgia campus, the SEC says.
May 30, 2019
Wall Street Sees a Win in SEC Crackdown on Broker ConflictsWall Street would rather have policy set by a Trump appointee than take its chances with a future Democratic administration.
May 29, 2019
SEC Advisor Fraud Charge Shows Hazards of 'Dual-Hat' CCOsThe dual-hat CCO "usually does not have the time, expertise or interest to do the job properly," according to Cipperman Compliance Services.