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 Brought More Advisor, BD Enforcement Actions in 2018
By Melanie WaddellThe Securities and Exchange Commission brought 821 enforcement actions in fiscal 2018.
November 01, 2018
SEC's Clayton: Advice Standards Package Done by September, 'if Not Sooner'Clayton tells ThinkAdvisor that changes are also expected to Reg BI and Form CRS.
October 31, 2018
SEC Proposes Long-Awaited Variable Annuity Summary ProspectusThe plan would allow these contracts to use a summary prospectus to provide disclosures to investors.
October 30, 2018
SEC Best-Interest Proposals Generating Less Advisor Awareness Than DOL Fiduciary Rule Did: SurveyThe Labor rule may be defunct, but all that prep work isn't lost, advisors said in a Fidelity survey.
October 29, 2018
4 Reasons the Advisor Compliance Landscape Is So ComplexFormer SEC official John Walsh talks about uncertainties around fee compression, 12b-1 fees and the broker protocol at Schwab Impact.
October 26, 2018
DOL, SEC Flexing Enforcement Muscle Under TrumpThe two regulators are leveraging enforcement initiatives at a historic level of tenacity.
October 26, 2018
Wall Street Giants Fight Over Who Helps Small Investors MostFirst discussion from SEC roundtable brings fireworks from both sides.
October 26, 2018
FINRA Expands Wells Notice Against Ex-Morgan Stanley Advisor Ami Forte: EnforcementAlso, a former State Street Corp. executive was sentenced to prison for defrauding customers.