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.
Clayton: SEC Broker Conduct Rule Embodies 'Core Fiduciary Principles'
By Melanie Waddell'We've sought to harmonize the actual duties that are owed' by brokers and investment advisors, Clayton tells lawmakers.
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."
April 20, 2018
SEC Charges Advisor in $1.4 Million Fraud Scheme: EnforcementIn other enforcement actions, LPL faces a FINRA fine and the SEC charges a businessman for stealing from a pension plan.
April 19, 2018
SEC Broker Conduct Plan Is Not a Fiduciary StandardAdvocates for RIAs and consumers said the SEC didn't clearly define "best interest" in the 1,000-plus page proposal.