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.
More States Adopt Reg BI-Compatible Annuity Sales Standards
By Allison BellGeorgia, Illinois and Tennessee have joined 30 other states in adopting NAIC's annuity sales standard update.
March 06, 2023
Former SIFMA General Counsel Hammerman Joins Bates GroupHammerman, who served 19 years as SIFMA's general counsel, will be based in Park City, Utah.
March 03, 2023
New SEC Custody Rule Would Scare Away Qualified Custodians: LawyerThe rule, if adopted, would entail repapering all custodian relationships for most SEC-registered RIAs, Valerie Mirko says.
March 03, 2023
SEC Charges Father-Son Advisory Team With FraudThe duo allegedly impersonated clients in phone calls to their former firm, Waddell & Reed, to execute transactions.
March 03, 2023
Work Phones Make a ComebackFirms, especially in finance, have grown concerned about data security as the SEC and CFTC step up scrutiny.
March 02, 2023
SEC to Increase Onsite Advisor ExamsExpect a "significant" increase in onsite exams within the next six months, SEC official Natasha Greiner says.
March 01, 2023
LPL, Raymond James Caught in SEC's Messaging ProbeThey are among firms facing SEC inquiries about preservation of messages stored on personal devices or apps.
February 28, 2023
Robinhood Subpoenaed by SEC Over Crypto BusinessThe probe comes as financial watchdogs take a more aggressive approach to crypto in the wake of FTX's collapse.