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.
Ready, Set, Crowdfund
By Melanie WaddellInvestors of any wealth level can now invest in startup ventures, ushering in what industry officials say is a watershed moment that democratizes angel investing.
May 20, 2016
SEC Pegs April for Fiduciary Rule ReleaseETFs and fund disclosures are other areas that could see more regulation soon, SEC Chairwoman Mary Jo White says.
May 19, 2016
Pro Golfer Phil Mickelson to Repay $900,000 Made on Insider InfoMickelson, a relief defendant not accused of securities law violations, will repay the money he made by trading on a tip from a sports gambler.
May 19, 2016
SEC Has Its Eye on Small-Biz Capital Raising, Chief White SaysSEC is monitoring how the three capital raising measures the agency put into effect under the JOBS Act are working, White says.
May 16, 2016
SEC’s Equity Crowdfunding Rules Finally Kick InAll investors, no matter their wealth, can start investing in startups as a result of the SECs equity crowdfunding rules, which took effect Monday.
May 15, 2016
Cybersecurity: A Focus for Regulators and Advisors in 2016Todays independent financial advisors wear many hats, but theres another responsibility that has become critical in recent yearsthat of identity protector.
May 11, 2016
SEC to Discuss Accredited Investor Definition, Reg D OfferingsThe SEC Advisory Committee on Small and Emerging Companies will meet May 18 to discuss these issues.
May 09, 2016
4 Regulators Bringing a New Era of Advice: The 2016 IA 25 SlideshowThe world in which financial advisors do business has become increasingly regulated.