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.
The 2018 Regulatory Texas Two-Step
By Melanie WaddellFirms must keep up with changes to Form ADV and Form N-PORT for mutual funds, legal and compliance specialists say.
December 22, 2017
Peirce, Jackson Confirmed as SEC CommissionersThis will be the first time the SEC has had a full commission since 2015; the Senate also approved a new Labor EBSA head.
December 21, 2017
SEC Busts $1.2 Billion Ponzi Scheme Targeting SeniorsMore than 8,400 investors were defrauded in unregistered Woodbridge funds, the SEC says.
December 19, 2017
Former Head of SEC’s NY Office to Join Finn DixonAndrew Calamari will join the firm's government and internal investigations, litigation and investment advisors/broker-dealers practice.
December 15, 2017
SEC Modifies N-PORT Filings in Response to EDGAR HackLarger fund groups will need to make N-PORT information available to the SEC upon request.
December 12, 2017
SIFMA Sees SEC Fiduciary Rule Proposal Within 18 MonthsThe lobbying group takes SEC Chairman Jay Clayton "at his word" that the rule is a top priority, CEO Ken Bentsen says.
December 08, 2017
SEC Names New Chief of Complex Financial Instruments UnitDaniel Michael looks forward to fighting fraud in "some of the most challenging areas of the markets."
December 08, 2017
Aguilar, TD’s Schweiss Discuss How an SEC Fiduciary Rule Could WorkThe two industry insiders talked to ThinkAdvisor about how a rule could move forward but said proposing one next year would be "tricky."