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.
A Close-Up View of the SEC's 'Fiduciary' Proposal
By Melanie WaddellThe latest update and details on the SEC fiduciary proposal and Best-Interest plan
April 26, 2018
SEC's Peirce: Are Equity Market Structure Rules Outdated?Commissioner Hester Peirce asks if the '75 Amendments continue to be warranted in the 'very different markets that have developed over the intervening 43 years.'
April 25, 2018
SEC Standard of Conduct Proposal Faces 'Arduous Path': Fi360's AikinIndustry officials debated the merits of the SEC's new standard of conduct proposal at an Fi360 event.
April 25, 2018
After Court Ruling, DOL Stops Enforcing Fiduciary RuleBut SEC Chairman Jay Clayton says the agency he leads is moving forward on its fiduciary proposal despite the court vacating Labor's rule
April 24, 2018
Barred Broker Owes Morgan Stanley $6MBarry Connell used clients' money to pay for a country club membership and private jets, the SEC says.
April 23, 2018
'Buckets of Money' Supreme Court Case Tests Power of SEC JudgesThe dispute could affect more than 100 cases currently at the SEC.
April 20, 2018
The SEC Just Did Brokers a Huge FavorProposed standards, stopping short of a fiduciary rule, let them keep charging fees.
April 20, 2018
April 30 Deadline Looms for DOL Fiduciary AppealERISA attorneys discuss whether Labor will appeal and say the SEC's broker conduct proposal seems "rushed."