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 Approval of a Bitcoin ETF Does Not Depend on Who Worked at Goldman
By Greg KingThe U.S regulatory agency has bigger concerns, and is looking at a range of highly technical issues.
September 26, 2018
SEC Hits Voya Financial Advisors With $1M Fine Over Cyber BreachHackers tricked a helpdesk into resetting passwords so they could gain access to customer data, the SEC said.
September 26, 2018
No Time Frame Yet for Final SEC Best-Interest RuleThe SEC is reviewing more than 6,000 comments on the plan, IM director Dalia Blass told lawmakers.
September 19, 2018
SEC Halts $345M Ponzi-Like Scheme That Bilked Pro Athletes, AdvisorsThe scheme involved consumer debt portfolios, the SEC said.
September 19, 2018
SEC Plans Retail Investor Fraud RoundtableThe discussion will focus on steps that can be taken to enhance ability of regulators and BDs to combat retail investor fraud.
September 18, 2018
SEC's New Form N-CEN Filing Deadline Kicks in for Some FundsThe SEC also announced on Sept. 11 XML schema changes for N-PORT and N-CEN that take effect Oct. 1.
September 18, 2018
SEC Reopens Advisor Proxy Voting DebateThe agency withdrew two no-action letters allowing advisors to use third-party voting services.