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.
Aguilar, TD’s Schweiss Discuss How an SEC Fiduciary Rule Could Work
By Melanie WaddellThe two industry insiders talked to ThinkAdvisor about how a rule could move forward but said proposing one next year would be "tricky."
November 30, 2017
‘Spongebuddy’ Investors Got Scrubbed: EnforcementIn another enforcement action, an advisor is charged for an investment scheme involving seniors.
November 29, 2017
SEC, Treasury Considering Whether Treasury Market Needs New RegsSEC Chairman Clayton and Treasury Secretary Mnuchin spoke about this and related issues at a New York Fed conference.
November 27, 2017
Beware: The Bully LivesMuch to my chagrin, the SEC recently has demonstrated an increasingly aggressive posture during regulatory examinations.
November 27, 2017
Searchable Bad Broker Database ‘Long Overdue’ But Will Face ScrutinyThe head of PIABA says the database is only a Band-Aid for a really serious problem.
November 24, 2017
SEC Charges Long Island Town, Ex-Official With Defrauding Municipal InvestorsThe official and town hid loan guarantees with a concession stand vendor totaling more than $20 million from investors.
November 21, 2017
SEC Exam Priorities Said to Focus on Cybersecurity, Seniors in 2018The new examination priorities list, usually released in January, would be the roadmap for OCIE activities for the year.
November 20, 2017
Senate Appropriations Bill Gives SEC More Funds for TechJust-released FY2018 funding bill also includes "poison pill" riders related to CFPB's budget.