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 Approval of Bitcoin ETFs Could Come This Week
By Ric EdelmanMy prediction: They will collectively represent the most successful ETF launch in history. But don't get too excited.
December 21, 2023
'Wolf of Wall Street' Jordan Belfort's New Investment Pitch Is ... Indexing?The ex-broker doesn't mince words on the SEC or the "Fee Machine Complex" but praises financial planners.
December 18, 2023
10 Worst Financial Advisors in America: 2023While most advisors make clients' lives better, others stand accused of financial crimes — and worse.
December 18, 2023
Complying With SEC Cyber Rules Remains 'Super Difficult'Rules now require public firms to report cyber issues within four business days of finding them "material" to shareholders.
December 15, 2023
Why the Pool of Accredited Investors Keeps Growing: New SEC ReportOne big driver of the growth is retirement savings, the SEC says.
December 14, 2023
SEC Updates FAQ on Form CRSThe agency answers questions related to private placements, principal underwriters and dually registered BDs.
December 11, 2023
FINRA Releases Reg BI NoticeThe notice points broker-dealers to various SEC resources to help them comply with the best-interest rules.
December 07, 2023
SEC Investor Advocate: RILAs Are Hard for Consumers to Understand"We rarely have examined a more complex retail investment product," Cristina Begoña Martin said.