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.
Commonwealth Must Pay SEC $93M Over Revenue Sharing
By Melanie WaddellCEO Wayne Bloom said the firm is "exploring all options to continue to defend our position."
April 02, 2024
The SEC Is 'Scaring People Off': Hester PeirceCulture at the top of the agency has changed, affecting how it engages the public, the commissioner said.
March 29, 2024
Court Tackles SEC Authority to Regulate Private Funds: SEC RoundupThe judges seemed interested in saving some of the rules even if they vacate others, IAA's Bernstein relays.
March 28, 2024
Guardian Unveils Its First RILA, After Dialogue With SECThe insurer added warnings about maximum losses and the possibility of index changes.
March 27, 2024
New SEC Risk Alert Warns of T+1 TransitionExaminers will review whether and how RIAs have evaluated the impact of the settlement cycle change on their businesses.
March 27, 2024
SEC Updates Rules for Robo-AdvisorsThe changes better reflect the digital marketplace in 2024, said Gary Gensler, the agency's chairman.
March 25, 2024
The SEC Marketing Rule Sweep Has BegunAre you being too aggressive with your marketing efforts? Be careful.
March 18, 2024
Cambridge Says It's Under FINRA Review, Plans $500,000 RestitutionThe firm's procedures for providing fee waivers, rebates and discounts through rights of reinstatement are under scrutiny.