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 Fines Two Brokers for Reg BI Violations
By Melanie WaddellThe brokers used "frequent in-and-out trades," the regulator said.
November 14, 2023
FINRA Moves to Allow Performance Projections in Some BD MarketingThe proposal aligns with the SEC's marketing rule for RIAs.
November 06, 2023
House Spending Bill Kills SEC Custody Rule, Curbs CAT Data CollectionThe agency would be blocked from using funds to finalize, implement or enforce a host of rules.
November 02, 2023
SEC Highlights Exam Priorities for 2024Examiners will address how advisors mitigate conflicts of interest and allocate investments to certain accounts.
October 26, 2023
Raymond James' Profits Take $55M Hit From FinesThe $55 million hit was tied to the SEC's industry sweep of firms' off-channel communications.
October 25, 2023
'All Cases Are Important,' SEC's Gensler SaysGensler and the agency's enforcement director also addressed off-channel communications Wednesday at the Securities Enforcement Forum.
October 19, 2023
How CapWealth Fought 12b-1 Fee Charge: SEC RoundupCapWealth founder Tim Pagliara explains how his firm prevailed over the regulator in federal court.
October 18, 2023
Citadel Securities, ASA Sue SEC Over CATSEC "has overstepped its statutory authority and failed to address investor and industry concerns, leaving us no choice but to litigate," they said.