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.
'All Cases Are Important,' SEC's Gensler Says
By Melanie WaddellGensler and the agency's enforcement director also addressed off-channel communications Wednesday at the Securities Enforcement Forum.
October 17, 2023
Ethereum ETFs Are Here. Is Spot Bitcoin Next?Everyone except SEC's chair seems to understand that a spot bitcoin ETF would be in investors' best interests.
October 17, 2023
SEC Commissioner Concerned About Insurers' Broadly Syndicated LoansCaroline Crenshaw worries about the possibility that insurers or other investors could pile up hidden BSL risk.
October 16, 2023
7 Top SEC Exam Priorities for 2024Exams will focus on emerging risks to investors along with perennially risky areas, the SEC said.
October 16, 2023
SEC Won't Appeal Court Decision Paving Way for Grayscale Spot Bitcoin ETFGrayscale has argued that investors would benefit from the conversion of its trust into an exchange traded fund.
October 12, 2023
FINRA's Cook: 'Mission Accomplished' With CAT DatabaseCook also signaled that paring back the amount of information collected via CAT may be warranted.
October 10, 2023
Advisors Take Note: These 8 States Have New Telemarketing LawsAdvisors risk violating not only state laws but the SEC's Marketing Rule when telemarketing their services.
October 09, 2023
Fiduciary Fight Set to Move to More States After Massachusetts RulingA Massachusetts decision opens doors for stricter rules elsewhere, even as Labor's rule could be out this month.