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.
Crypto Exchange Backed by Schwab, Fidelity Goes Live
By Yueqi Yang & Katherine DohertyEDX Markets, which does not custody digital assets, offers institutional trading in Bitcoin, Ethereum, Litecoin and Bitcoin Cash.
June 14, 2023
5 Big Rules the SEC Plans to Finalize This YearThese rules are on the list despite industry pushback, says Amy Lynch of FrontLine Compliance.
June 14, 2023
Battle With Law Firm Over China Hack Comes to a Head: SEC RoundupThe SEC wants information on Covington & Burling's advisor and BD clients hit in a 2020 cyberattack.
June 14, 2023
House GOP Seeks to Remove SEC Chair Gensler, Restructure CommissionThe proposed SEC Stabilization Act would add a sixth commissioner and ensure political party parity.
June 13, 2023
SEC to Weigh New AI Rules for BrokeragesA plan to rein in conflicts of interest associated with the use of artificial intelligence could be introduced as soon as October.
June 08, 2023
SEC Examiners Turn Up the Heat on Marketing Rule ComplianceSEC's new risk alert shows examiners "will be undertaking a comprehensive approach," says attorney Issa Hanna.
June 08, 2023
Ex-Morgan Stanley Advisor Pleads Guilty to Money LaunderingThe ex-broker took more than $1.5 million from two close relatives who were clients, the prosecutor said.
June 08, 2023
House Passes Bill to Create Senior Fraud Task ForceThe Senior Security Act would direct the SEC to set up a task force on protecting older adults from scams.