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.
SEC Proposes New Rule to Require Business Continuity Plans
By Thomas D. GiachettiUnder the rule, it would be unlawful for an RIA to provide investment advice if it does not adopt a BCP and review it annually.
July 19, 2016
SEC Proposes Making Brokers Reveal Where Client Orders GoRegulator seeks comment on ramped-up broker disclosure rules; institutions would get more information on how orders filled.
July 14, 2016
SEC Charges Advisor With Overcharging in Wrap Fee ProgramAs subadvisor, RiverFront's "trade away" volume caused clients to incur millions in transaction costs, the SEC said.
July 14, 2016
SEC OKs New Rules for In-House ProceedingsIndividuals and companies will have more time to prepare for hearings and depositions in certain matters.
July 13, 2016
SEC Launches Exam Sweep of Advisors' Share Class PicksThe Share Class Initiative targets mutual fund and 529 plan share classes with substantial loads or fees, including 12b-1 fees.
July 13, 2016
Wyoming to Begin Registering RIAsWyoming was the last holdout of states that didnt require advisors to register with state regulators.
July 12, 2016
Former SEC Chief Walter Joins Investor Advisory CommitteeSEC named three new members to its Investor Advisory Committee, including former SEC Chairwoman Elisse Walter.
July 08, 2016
SEC Whistleblower Chief to Leave AgencySean McKessy, chief of the Office of the Whistleblower at the SEC, will leave the agency later this month.