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.
Trump Pledges to Fire Gensler, Hire People Who 'Love' Crypto
By Teresa Xie, Stephanie Lai & Alicia DiazThe politician said he would fire the SEC chair and pick crypto-friendly regulators if he returns to the White House.
July 19, 2024
SEC Launches Sweep of RIAs' T+1 ComplianceRIAs have received letters asking for details on procedures for trade affirmation and recordkeeping, K&L Gates attorneys say.
July 16, 2024
Off-Channel Communications Now Advisors' Top Compliance ConcernTwo new compliance surveys named unapproved messaging channels as the topic of the moment.
July 15, 2024
SEC Bars Advisor for 20-Year, $24M Ponzi SchemePaul Horton Smith told clients they were investing in an annuity or real estate, the SEC said.
July 08, 2024
Fidelity Hits Back at Fired Advisor's Reg BI LawsuitThe advisor was terminated for "deceptive misconduct," not for reporting rule violations tied to sales pressure, Fidelity says.
July 05, 2024
Supreme Court Ruling Ensures Juries in Many SEC Cases: SEC RoundupWith the Jarkesy opinion, the agency may no longer pursue such claims through in-house enforcement proceedings.
July 02, 2024
New SEC RILA Rules Accentuate the Negative, Commissioner SaysRegistering new products will get easier, but the required notices could scare off investors, Hester Peirce warns.
July 01, 2024
SEC to Let Insurers Register RILAs on a Simpler FormThe shift also affects market-value-adjusted annuities but not annuity spigots plugged into ordinary portfiolios.