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 Using 'Best Interest' as a 'Marketing Slogan': Phyllis Borzi
By Jane Wollman RusoffBorzi minces no words about the rule — and tells ThinkAdvisor about a run-in with a very angry broker.
March 14, 2019
SEC Reg BI's Economic Analysis Too Weak, Will Face Legal Challenges: SEC's JacksonIf the analysis "is not up to snuff, you're basically giving the market a call option" to strike down the rule, Jackson said.
March 13, 2019
Trade Groups Urge Maryland Lawmakers to Wait for SEC Reg BIFSI has "serious concerns" about the state fiduciary proposal, President and CEO Dale Brown said.
March 13, 2019
SEC Seeks Input on Advisors' Custody of Digital AssetsIssues have been raised about the regulatory status of advisors' custodial trading practices involving certain assets.
March 11, 2019
Advisors to Return $125M in 12b-1 Fees Under SEC Share Class InitiativeMore than 70 advisors self-reported that they improperly sold clients mutual fund shares with 12b-1 fees.
March 08, 2019
BB&T to Return More Than $5M to Retail Investors and Pay Fine: EnforcementAlso, a broker who was charged with unsuitable and unauthorized trades is fined and barred by the SEC.
March 08, 2019
Clayton: SEC Plans to Update Equity Market Rules This YearThe plans address issues raised in a series of roundtables with market participants and investors last year.
March 01, 2019
Ride-Sharing No. 2 Lyft Starts IPO Race With Public FilingFriday's filing gives Lyft a leg up in its race with Uber to go public this year; both ride-sharing companies filed their draft statements with the SEC in December.