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SEC Regulation and Compliance

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.

Webcasts

Attend free webcasts to get the info you need to solve business challenges!

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Booming ETFs That Worry Wall Street Watchdogs Rake In Billions
Mesirow Financial Hit With Revenue Sharing Violations, Including 12b-1 Fees
RIA Hit With $5.8M SEC Penalty for 12b-1 Fee Infractions Tied to Wrap Accounts
House Again Asks SEC for an Index-Linked Annuity Filing Form
Ex-Coinbase Manager Arrested in Crypto Insider-Trading Case

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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Bill to Require SEC Investor Testing Is Revived
Robinhood’s Chief Lawyer Balks at Plan to Rein In Trading Apps: SEC Roundup
More Reg BI Actions May Be Ahead: SEC Enforcement Chief
Equitable to Pay $50M for Misleading Teachers on Annuity Fees
BofA Expected to Pay $200M for Personal Device Misuse