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.
Advisor Accused of Taking $1.6M Faces Wire Fraud Charge
By Dinah Wisenberg BrinProsecutors allege that the wealth manager misappropriated client funds, using them for her real estate business.
February 21, 2024
Advisors Face Enhanced Reporting of Say-on-Pay VotesCertain investment managers are subject to filing an annual form disclosing proxy votes related to executive compensation.
February 21, 2024
SEC Bars Phony Advisor Accused of 'Ponzi-Like' SchemeThe CEO, who had no securities licenses, misappropriated $1.8 million and misled investors, the SEC alleges.
February 16, 2024
TIAA to Pay $2.2M for Reg BI Violations in IRA ProgramThe firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.
February 16, 2024
Van Eck to Pay SEC $1.75M Over BUZZ ETF LaunchVan Eck failed to disclose an influencer's planned involvement and the sliding licensing fee structure, the SEC said.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.
February 15, 2024
Gensler Vows to Advance SEC's Rule Agenda as Election LoomsThe agency has finalized some 35 rules during the Biden administration, with many remaining rules opposed by Republicans.
February 13, 2024
Treasury Releases AML Rule for AdvisorsThe proposed rule would require RIAs to implement anti-money laundering policies and file suspicious activity reports.