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.
Sizing Up the SEC's Form CRS
By Melanie WaddellConsumer groups present the SEC with survey results that show investor confusion on Form CRS; lawmakers also weigh in.
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.
September 17, 2018
Group Blasts SEC's Proposed Whistleblower ChangesThe National Whistleblower Center says the changes are "radically anti-whistleblower" and mirror U.S. Chamber of Commerce's views.
September 14, 2018
Teacher Turned Advisor Sold Risky Securities to Teachers, Retirees: SECThe firm and its owner failed to disclose to clients that they stood to receive commissions of up to 18% from the sales.