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 Charges 9 More Firms With Marketing Rule Violations
By Melanie WaddellThe SEC fined the RIAs for advertising hypothetical performance on their websites without following proper procedures.
September 06, 2023
How the SEC Picks Advisors to ExamineA new Risk Alert lays out criteria and describes the types of information the agency will request in exams.
September 06, 2023
SEC Adopts Revised CAT Funding ModelSIFMA said that it "finds the CAT funding model created and designed by the SROs to be deeply flawed."
September 05, 2023
New Private-Funds Rules Hit With Court Action: SEC RoundupSeveral industry groups filed an action in a federal appellate court challenging the SEC's recent private funds rules.
September 05, 2023
SEC Charges 5 Advisory Firms With Custody Rule ViolationsThe firms will pay a total of $500,000 for failures tied to the safekeeping of client assets and timely disclosure updates.
September 05, 2023
SEC to Consider Revised Funding Model for CATThe SEC will also consider whether to establish a fee schedule for Consolidated Audit Trail fees.
August 29, 2023
Citigroup Unit Pays $2.9M to Settle SEC ProbeFor a decade, the bank's broker had flawed processes in its accounting tied to the underwriting of securities offerings.
August 29, 2023
Why the Bitcoin ETF Ruling Is a Big WinBitcoin ETFs could account for up to 10% of the cryptocurrency's market value in three years, says Sanford C. Bernstein.