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 Fines 13 Private Fund Advisors Over Form PF Failures
By Melanie WaddellThe SEC found that they failed to file annual reports on Form PF informing the agency about the private funds they advise
May 31, 2018
SEC Is Said to Review Allegations That Aflac Misled InvestorsLawyers hired by an Aflac board committee said the accusers' allegations are inaccurate.
May 30, 2018
Groups Fight SEC for Longer Comment Period on Conduct RulesFPA and others say they can't comment on the new disclosure form until they know whether or not investors actually understand it.
May 29, 2018
Regulatory Roulette Being Played With Fiduciary StandardRIAs and BDs are laboring under a fiduciary standard battle that offers no "regulatory clarity," argues Fi360's Blaine Aikin.
May 25, 2018
Pot Firm Lied About Cheech & Chong Connection, SEC Says: EnforcementA Bud Genius co-founder falsely described Chong as a "partner," according the SEC.
May 22, 2018
Will SEC's Broker Conduct Rule Work? BDs, Attorneys Weigh InBrett Redfearn, director of the SEC's Trading and Markets division, urged BDs to comment on the agency's standard of conduct proposals.
May 18, 2018
SEC, FINRA Fine Brokerages With AML Violations: EnforcementIn another enforcement action, a broker representative and investment advisor were indicted for fraud.
May 18, 2018
Does Any Token Exist That Is Not a Security?The SEC hasn't yet declared that a specific token is not a security. The courts may beat it to the punch.