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.
New SEC Proposal Should Even Out Your Best Interest Playing Field: ACLI
By Allison BellThe life insurer group's president says the same best interest standards should apply to all sales professionals.
April 17, 2018
New SEC Ad Promotes Background Checks of Investment ProfessionalsMore than 9 million new users have used Investor.gov since it launched in October 2009.
April 16, 2018
SEC to Release FAQ on Share Class Selection Disclosure Initiative"We have received a number of questions" about the voluntary program, said Stephanie Avakian, co-director of the SEC's enforcement division.
April 13, 2018
Instinet Fined $1.5M by FINRA, NYSE & Others: EnforcementThe SEC announced that courts fined an investment advisor and his companies for defrauding clients.
April 11, 2018
SEC to Take Up Fiduciary Proposal on April 18The agency plans to consider a 'rule to establish a standard of conduct for broker-dealers,' according to a meeting notice.
April 10, 2018
New Stradley Ronon Group to Help Advisors Navigate Fiduciary RulesThe group, staffed with ex-SEC officials, will help advisors and BDs comply with 'multiple and conflicting' fiduciary standards.
April 10, 2018
SEC Halts Multimillion-Dollar Ponzi Scheme Targeting SeniorsThe perpetrators used some of the funds for country club memberships, travel and entertainment.
April 06, 2018
SEC Slams PNC, Securities America, Geneos With $15M Fine Over Share Class ViolationsThe three firms put clients into higher-cost mutual fund shares with 12b-1 fees.