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.
Advisors' Biggest Problem With the SEC's Marketing Rule
By Melanie WaddellA new survey finds more than a third of firms are unclear on the meaning of one key term.
August 02, 2024
As SEC Onsite Exams Hit Fever Pitch, Here's What RIAs Need to KnowTo prepare, firms should review their compliance programs and conduct mock SEC interviews with key staff.
July 31, 2024
Firm Violated Reg BI With Risky Options Strategy: SECWestern International Securities was fined $140,000 for letting a former rep day trade options in clients' accounts.
July 30, 2024
Ameriprise and Wells Fargo Sued Over Low Interest on Client CashThe lawsuits follow similar client complaints against LPL Financial and Morgan Stanley.
July 29, 2024
SEC Hits Firm With $85K Reg BI FineLifeMark Securities and a registered rep must each pay fines and return some funds to a semi-retired client.
July 29, 2024
Trump Pledges to Fire Gensler, Hire People Who 'Love' CryptoThe politician said he would fire the SEC chair and pick crypto-friendly regulators if he returns to the White House.
July 25, 2024
It's Time for a Reg BI Crackdown at SEC: Ex-CommissionerThe rule is falling short of its goal and Form CRS is "bad," former SEC Commissioner Robert Jackson says.
July 22, 2024
Kitces: 5 Industry Trends Reshaping Financial AdviceThe advice business has reached a generational turning point, the popular blogger says.