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.
Debate: Should Accredited Investor Rules Be Loosened?
By Robert Bloink | William H. ByrnesOur tax experts discuss whether lowering the requirements to qualify as an accredited investor would benefit average Americans.
April 26, 2023
Branch Offices Lack Policies for Protecting Client Records: SECThis failure has resulted in firms falling victim to cybersecurity and data breaches, according to an SEC risk alert.
April 25, 2023
Wealthtender Adds Testimonial Marketing EvangelistAdvisors are still not clear on how to comply with the new SEC Marketing Rule, Diana Cabrices says.
April 25, 2023
Adam Handler: The New SEC Reg BI Guidance Is SpectacularThe Q&A may not be simple or gentle, he says. But he's thrilled to see details.
April 20, 2023
SEC Issues New Reg BI GuidanceA Q&A clarifies how to determine if an investment or strategy is in a client's best interest.
April 19, 2023
New Bill Would Cut Thresholds for Accredited InvestorsThe bill runs counter to the SEC's stated goal of increasing the income and net worth thresholds.
April 19, 2023
Barclays to Shut 21 ETNs a Year After 'Staggering' Note BlunderThe SEC says Barclays sold about $17.7 billion of securities in unregistered transactions; it agreed to pay $361 million to resolve the charges.
April 18, 2023
Betterment to Pay $9M SEC Fine for Tax Loss Harvesting MisstatementsTechnical issues cost 25,000 clients a total of $4 million in tax savings, the regulator said.