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.
Senators Hear Views on Proxy Voting Reform
By Elizabeth FestaThe consensus "is that the proxy infrastructure is broken and in need of urgent attention," said IAA's Karen Barr.
December 05, 2018
SEC Custody Rule Up for ReviewCommenters will likely request that the rule be scaled back in certain respects, said attorney Cliff Kirsch.
November 30, 2018
Floyd Mayweather, DJ Khaled Fined by SEC for Unlawfully Touting ICOs: EnforcementMeanwhile, FINRA barred a broker for splitting a client's investments into 42 different mutual funds.
November 28, 2018
SEC, DOL Share Details on Plans for Advice StandardsBoth regulators are expected to finalize rules for conduct standards by September 2019.
November 28, 2018
What's Inside the SEC's Best Execution Risk AlertAdvisors often don't realize that best execution requirements have many facets, all of which are worth a careful review.
November 26, 2018
Regulators Sending 'Mixed Signals' About Crypto Regs: SEC's PeirceThe SEC can also "do a better job at explaining how and why we make decisions and what those decisions mean" to investors, Peirce said.
November 20, 2018
SEC Fines Advisory Firm for Failing to Give Promised Fee DiscountsBy not giving fee-breakpoints, Retirement Capital Strategies "improperly calculated advisory fees and thereby overcharged certain clients," the SEC said.
November 19, 2018
Fight Over NJ Fiduciary Rule Heats UpNew Jersey's insistence on moving ahead "suggests an impatience and disregard" for the SEC's rulemaking, a lawyer said.