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 Examiners Turn Up the Heat on Marketing Rule Compliance
By Melanie WaddellSEC's new risk alert shows examiners "will be undertaking a comprehensive approach," says attorney Issa Hanna.
June 07, 2023
California Annuity Sales Rule Bill Faces Consumer Group OppositionThe consumer groups want to require agents to disclose cash compensation.
June 06, 2023
SEC's Coinbase Lawsuit Heralds Deepening Crypto CrackdownCoinbase for years evaded its rules by letting users trade crypto tokens that were actually unregistered securities, the regulator says.
June 05, 2023
House Advances Bills to Expand Accredited Investor DefinitionThe full House passed late Monday the Accredited Investor Definition Review Act and the Fair Investment Opportunities for Professional Experts Act.
June 05, 2023
SEC's New Cyber Rule Plan Needs Changes, Trade Groups SayThe update to Reg S-P would require firms to notify clients of data breaches.
June 05, 2023
SEC Sues Binance and CEO for Breaking Securities Rules"Through 13 charges, we allege that Zhao and Binance entities engaged in an extensive web of deception ... and calculated evasion of the law," said SEC Chair Gary Gensler.
June 01, 2023
House Passes Bill to Require Accredited Investor ExamUnder the bill, the SEC would devise the exam and FINRA would administer it.
May 31, 2023
House Passes Bill Requiring SEC to Update Small Business DefinitionThe Investment Adviser Association supports the bill, saying the current definition of a small RIA is "inexplicably" low.