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.
Voya to Pay $3.1M for Not Disclosing Payments Tied to Fund Sales
By Janet LevauxThe advisor group will pay penalties for failing to tell clients about revenue collected from a third-party BD, the SEC said.
March 03, 2017
SEC Freezes Assets of Unknown Traders in Suspected Insider Trading: EnforcementIn other enforcement news, SEC obtained final judgments in a case involving an international pyramid scheme targeting Latinos.
March 03, 2017
SEC to Probe Advisor, BD Fiduciary Compliance With ReTIRE InitiativeGone are the days of a long, full-scope exam, said acting exam director Pete Driscoll.
March 02, 2017
SEC Easing of 'Accredited Investor' Restrictions: The BenefitsPermitting people of modest means to make their own investment decisions may be too radical for Congress or the SEC.
February 27, 2017
‘Business as Usual’ at SEC Despite Staff VacanciesIf confirmed, incoming SEC Chair Jay Clayton will be busy filling open vacancies on his staff.
February 24, 2017
SEC Investor Advocate Launches Investor Research InitiativeThe POSITIER initiative will utilize surveys, focus group tests and other tools to better assess investor needs and influence rules.
February 24, 2017
SEC 'Continues to Wrestle' With Target-Date Fund Risk Rule: IM's GrimFormer SEC Commissioner Wallman urges IM to "tackle" TDF risk disclosure rule.
February 24, 2017
Accredited Investor Is an ‘Artificial Distinction’: SEC Acting ChairAt SEC Speaks, acting Chairman Michael Piwowar also zeroed in on how the Dodd-Frank Act burdens the "forgotten investor."