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 RILA Rules Accentuate the Negative, Commissioner Says
By Allison BellRegistering new products will get easier, but the required notices could scare off investors, Hester Peirce warns.
June 29, 2024
SIFMA, FSI Join Suit to Strike Down DOL Fiduciary RuleThe trade groups join insurance industry groups in asking a court in Texas to vacate the rule.
June 28, 2024
Supreme Court Overturns Chevron Rule in Blow to Agency PowerThe ruling raises new questions about agencies' power to regulate emerging fields like crypto and AI.
June 27, 2024
Supreme Court Curbs SEC's In-House Judges in Fraud CasesThe 6-3 decision could reduce the agency's leverage to extract high-dollar settlements.
June 26, 2024
Expect SEC Reg BI Actions to Heat Up: Law FirmDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 21, 2024
What the RIA Industry Looks Like Now, in 4 ChartsThe number of RIAs continues to grow as well as their AUM, an IAA and COMPLY report finds.
June 21, 2024
More SEC Rules in Peril With Private Fund Rule StrikedownTwo of the SEC's main rulemaking statutes hang in the balance after the recent Fifth Circuit decision.