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.
Clayton: SEC Plans to Update Equity Market Rules This Year
By Bernice NapachThe plans address issues raised in a series of roundtables with market participants and investors last year.
February 28, 2019
Top Democrat on Senate Panel Wants Hearing on SEC's Reg BIFormer SEC economists' letter stating Reg BI "had weak and incomplete economic analysis" should be "a red flag," said Sen. Sherrod Brown.
February 28, 2019
SEC Modifies Submission Times for Form N-PORT"We are very pleased that the SEC has taken this important step," said ICI President Stevens.
February 27, 2019
Put Variable Product Illustrations On IPads: Ben Baldwin to SECA longtime agent and planner has told the SEC that showing consumers 'mind-numbing rows of numbers' is useless.
February 26, 2019
9 Ideas for Making the SEC's Annuity Summary Prospectus ShineCommenters offer their thoughts on replacing the current word mud with... something else.
February 26, 2019
SEC Advice-Standards Package Likely by Q3; States March AheadWhile the 35-day partial government shutdown "really slowed progress" at the Securities and Exchange Commission
February 26, 2019
Regulators Take Aim at Share Class DisclosureAttorneys and compliance experts see the SEC and FINRA crackdowns as a 'big deal' that foretells the demise of 12b-1 fees.
February 26, 2019
Musk Lays Into SEC With More Tweets After U.S. Contempt Claim"Something is broken with SEC oversight," Musk wrote, in response to a user's tweet sympathizing with this position.