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 Extends Form ADV Deadline for RIAs Affected by Hurricane Michael
By Bernice NapachThe SEC extended Form ADV filing deadlines that fall in the period from Oct. 10 to Nov. 21.
October 09, 2018
Annuity Issuers Are Using This Move to Save MILLIONSFour insurers have persuaded the SEC to streamline a key index-linked product filing requirement.
October 05, 2018
SEC Fines LendingClub $4M for Fraud: EnforcementAlso, Credit Suisse will pay $10 million over its handling of retail customer orders.
October 04, 2018
SEC Advice Standards Package Likely by First Half of 2019: GrimGrim, a former SEC IM director, says Reg BI will have a major impact on sales incentives and IRA rollovers.
October 03, 2018
Drinker Biddle Launches Best Interest Compliance TeamMore than 20 lawyers will help advisors and BDs navigate the "stream of rules and regulations."
October 01, 2018
Infomercial Scammers to Pay $4.1M to SECSEC charges 10 individuals and two companies involved in allegedly fraudulent schemes using videos aimed at retirees that promise big returns.
September 28, 2018
SEC Charges Ex-Wells Fargo Broker With Defrauding Seniors: EnforcementAlso, the SEC and CFTC filed charges against a Bitcoin-funded securities dealer and CEO.
September 28, 2018
SEC Approval of a Bitcoin ETF Does Not Depend on Who Worked at GoldmanThe U.S regulatory agency has bigger concerns, and is looking at a range of highly technical issues.