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 Marketing Rule, AI in SEC Examiners' Crosshairs
By Melanie Waddell"You're going to see us focusing on marketing in almost every exam," SEC's Natasha Vij Greiner says.
February 29, 2024
Senators Introduce E-Delivery BillThe bill requires the SEC to allow financial firms to deliver their documents in digital format.
February 28, 2024
SEC Investment Management Director Steps DownWilliam Birdthistle will be replaced by Natasha Vij Greiner, a deputy director in the Division of Examinations.
February 26, 2024
Advisor Accused of Taking $1.6M Faces Wire Fraud ChargeProsecutors allege that the wealth manager misappropriated client funds, using them for her real estate business.
February 23, 2024
LPL Facing SEC Fine as High as $50M Over Texts, App UseTwo weeks ago, 16 other firms agreed to pay more than $81 million for similar issues.
February 23, 2024
New SEC Dealer Rule Will Hit Private Funds: SEC RoundupAIMA's Suzan Rose says the rule expands BD registration to entities not traditionally considered as such.
February 21, 2024
Advisors Face Enhanced Reporting of Say-on-Pay VotesCertain investment managers are subject to filing an annual form disclosing proxy votes related to executive compensation.
February 21, 2024
SEC Bars Phony Advisor Accused of 'Ponzi-Like' SchemeThe CEO, who had no securities licenses, misappropriated $1.8 million and misled investors, the SEC alleges.