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 Tightening RILA Registration
By Melanie WaddellThe complex index-linked products would use an updated form aligned more closely with their characteristics.
September 28, 2023
SEC Finalizing 19 New Settlements in Wall Street WhatsApp Probe: ReutersThe settlements are with investment advisors and broker dealers, according to the report, with details expected by Sept. 30.
September 26, 2023
AssetMark to Pay $18.3M Over Revenue SharingThe SEC says the firm didn't disclose conflicts of interest tied to its cash sweep program and payments from some custodians.
September 26, 2023
SEC Charges Firm With Inflating AUM on Form ADVVista Financial Advisors repeatedly failed to corroborate its asset levels, the SEC said.
September 25, 2023
SEC: 'Cash Flow King' Host Ran $11M Ponzi SchemeMatthew Motil was charged with defrauding over 50 investors in a scheme involving notes backed by residential properties.
September 25, 2023
SEC Fines Firm $1M Over Marketing Rule ViolationsWellesley Asset Management made material misstatements and omissions in marketing materials about a bond index it created.
September 25, 2023
Deutsche Bank Unit to Pay $25M to Settle SEC ProbesThe fine is the biggest ever that the SEC has handed out over allegations of greenwashing.
September 22, 2023
SEC Hits Wisconsin BD With Reg BI FineThe firm's policies and procedures contained Reg BI language but weren't tailored to its business, the SEC said.