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 Exam Coming? Use These 5 Tips to Prepare
By Richard ChenKnow what examiners are looking for and what to expect when they come calling.
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.
December 01, 2023
SEC's Use of In-House Judges Cast in Doubt by Supreme CourtThe justices suggested that fraud defendants have a constitutional right to a jury trial.