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 to Vote Wednesday on Digital Nudges, Robo Plans
By Melanie WaddellThe agency plans to consider a plan to propose rules for RIAs and BDs on predictive data analytics.
July 18, 2023
CEO of ETF Managers Group Resigns Amid SEC Probe Into Cannabis FundThe investigation concerns the "alleged non-disclosure of conflicts of interest" by Samuel Masucci and the issuer of thematic ETFs.
July 14, 2023
Supreme Court to Decide Fund Manager's 10-Year SEC Fight — SEC RoundupThe SEC's in-house trial system is largely "a kangaroo court," the hedge fund principal's lawyer says.
July 14, 2023
Dimensional Seeks Tax-Friendly ETF Share Classes Pioneered by VanguardVanguard's patent on ETF share classes of mutual funds that reduce capital gains for investors expired in May.
July 14, 2023
Senate Spending Bill Pumps $14M Into Secure 2.0 ImplementationThe Senate Appropriations Committee also expressed concerns about the SEC's Investor Advisory Committee and CAT.
July 13, 2023
15 Biggest Compliance Challenges for Advisors in 2023One compliance topic was picked by 70% of respondents as among the hottest.
July 13, 2023
New Bill Puts Clamp on SEC's CATThe bill would greatly restrict the SEC from collecting personally identifiable information for the system, said Rep. Barry Loudermilk.
July 12, 2023
SEC Wants BDs to Assess Cash Reserves DailyThe SEC's plan, released Wednesday, would amend the broker-dealer customer protection rule.