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 Charges Movie Director, Music Producer With Bilking Investors: Enforcement
By Emily ZulzSEC also announced a settlement in a fraud case against a former Morgan Stanley investment advisor.
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.
February 25, 2019
Elon Musk Faces U.S. Contempt Claim for Violating SEC AccordThe settlement required him to seek pre-approval for social media posts and other communication that would be material to the company or investors.
February 22, 2019
Borzi: DOL Should Not Defer to SEC's Reg BIIf it's adopted without major changes, the "industry continues its conflicted practices," the DOL fiduciary architect tells ThinkAdvisor.