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.
10 Worst Financial Advisors in America: 2023
By Dinah Wisenberg BrinWhile most advisors make clients' lives better, others stand accused of financial crimes — and worse.
December 14, 2023
SEC Updates FAQ on Form CRSThe agency answers questions related to private placements, principal underwriters and dually registered BDs.
December 11, 2023
FINRA Releases Reg BI NoticeThe notice points broker-dealers to various SEC resources to help them comply with the best-interest rules.
December 07, 2023
SEC Investor Advocate: RILAs Are Hard for Consumers to Understand"We rarely have examined a more complex retail investment product," Cristina Begoña Martin said.
December 01, 2023
SEC's Use of In-House Judges Cast in Doubt by Supreme CourtThe justices suggested that fraud defendants have a constitutional right to a jury trial.
November 30, 2023
Marketing Rule Among 2024 Enforcement Priorities: SEC RoundupFormer SEC lawyers from five different cities present advice for those looking to stay clear of the regulator.
November 29, 2023
Ex-Hedge Fund Boss Fights SEC at Supreme Court, Backed by Musk and CubanThe court is using George Jarkesy's case to consider stripping the SEC of a key enforcement weapon.
November 22, 2023
SEC Committee to Examine Accredited Investor DefinitionThe committee will review the existing definition and consider whether changes could boost capital-raising opportunities.