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.
New SEC Risk Alert Warns of T+1 Transition
By Melanie WaddellExaminers will review whether and how RIAs have evaluated the impact of the settlement cycle change on their businesses.
March 18, 2024
Cambridge Says It's Under FINRA Review, Plans $500,000 RestitutionThe firm's procedures for providing fee waivers, rebates and discounts through rights of reinstatement are under scrutiny.
March 18, 2024
SEC's Texting Crackdown Rages On, With RIAs Likely NextStand-alone penalties against investment advisory firms are coming, two former SEC attorneys say.
March 18, 2024
SEC Fines Two Firms for Bogus AI ClaimsThe firms made false and misleading statements about using AI, the SEC says.
March 08, 2024
Commonwealth Still Fighting $111.5M SEC Suit Over Mutual Fund FeesThe firm hopes to limit the damages it must pay to between $5 million and $24 million.
March 08, 2024
House Passes Accredited Investor BillThe House also passed a bill requiring the SEC to allow the electronic delivery of documents.
March 08, 2024
No Changes Coming to Reg BI: SEC ChiefThe next front in the SEC's war on conflicts of interest is the controversial predictive data analytics rule.
March 07, 2024
New Marketing Rule, AI in SEC Examiners' Crosshairs"You're going to see us focusing on marketing in almost every exam," SEC's Natasha Vij Greiner says.