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.
Anna Kooi Helps Life Insurers See (Potential) Deadbeats
By Allison BellKooi's work could show where losses are leaking into the investment portfolios.
May 09, 2023
SEC Custody Rule Plan Would Hurt Annuity Access: IRIThe trade group wants the SEC to add an exception to allow insurers to act in lieu of qualified custodians.
May 05, 2023
SEC Marketing Rule Enforcement Actions Could Be on Their WayRecent SEC exams have found "serious" marketing rule-related deficiencies, IAA's associate general counsel says.
May 05, 2023
SEC Hits Firm, Advisor Over Leveraged ETFs in PortfoliosThey breached their fiduciary duty by failing to understand these funds' substantial risks, the SEC said.
May 03, 2023
$20M Securities Scam Targeted Church Members, DOJ, SEC SayThe scammer invoked his Christian faith and attributed his success to divine intervention, the SEC said.
May 03, 2023
SEC Boosts Private Fund Reporting RequirementsFund advisors will be required to make timely reports of certain events that could point to stress or systemic risk.
May 02, 2023
4 Must-Knows for Advisors in SEC's New Reg BI GuidanceWhile aimed at BDs, the guidance helps clarify the care obligation for advisors, compliance expert Amy Lynch says.
April 28, 2023
Lawyer Breaks Down SEC's Sweep of Advisors' TextsThe SEC is requiring that firms retain business communications but hasn't defined what that means.