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 Is Mulling Reg BI Rewrite: Lawmaker
By Melanie WaddellA Republican congressman warned that attempting to rewrite the rule through guidance or FAQs could violate the law.
April 10, 2023
Firm Founder Sentenced to 15 Years in Prison For FraudThe ex-Infinity Q Capital Management CIO was sentenced for his role in a mismarking scheme.
April 06, 2023
Reg D Changes Are a Bad Idea: SEC RoundupMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.
April 03, 2023
Merrill to Pay $9.5M Over Undisclosed FeesThe firm paid part of these foreign exchange fees to advisors, referring to them as commissions in internal documents, the SEC says.
April 03, 2023
Do a 'Mock Audit' Now Before SEC Comes Knocking: Compliance ProFrontLine Compliance's Amy Lynch talks about today's top compliance issues and how advisors can prepare for what's ahead.
March 29, 2023
SEC Could Hire More RIA Examiners With Budget Boost: GenslerSignificant growth in RIAs "stretches thin the limited resources" of the exam division, SEC chairman tells lawmakers.
March 28, 2023
SEC Charges Fake Advisor With Scamming $8.4M From InvestorsThe defendant, incarcerated earlier for drug trafficking, allegedly led three schemes targeting at least 28 investors.
March 27, 2023
3 Compliance Failures of Newly Registered Advisors: SECMonday's exam alert also says these advisors' disclosures include omissions and inaccuracies related to fees and compensation.