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.
15 Biggest Compliance Challenges for Advisors in 2023
By Melanie WaddellOne compliance topic was picked by 70% of respondents as among the hottest.
July 11, 2023
Merrill, BofA Fined $12M for Suspicious Activity Report FailuresBank of America improperly set a reporting threshold of $25,000 instead of $5,000, the SEC and FINRA found.
July 06, 2023
SEC to Release New Rules for $5.5T Money-Market IndustryThe regulator is set to hold a meeting July 12 to finalize the changes, which aim to prevent outflows like those of March 2020.
June 30, 2023
SEC Pushes Back Against Fidelity, BlackRock Spot Bitcoin ETF FilingsThe token on Friday traded around $30,300. That's still less than half the record of almost $69,000 reached in November 2021.
June 29, 2023
SEC Has No Way to Track RIA Arbitration Stats, Unpaid AwardsA report commissioned by Congress reveals "an informational black hole" surrounding RIAs' use of arbitration, an attorney says.
June 28, 2023
SEC's Fund Liquidity Plan Hurts Retirement Savers, Lawmakers SayThe "hard close" for trades in the proposal "limits Americans' ability to trade in mutual funds," lawmakers say.
June 28, 2023
42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC RoundupA breach in the SEC's in-house judicial system highlights a major underlying problem, two attorneys say.
June 26, 2023
Is the SEC's War on Crypto 'Regulation by Enforcement'?I asked the SEC's crypto enforcement chief to answer that question, and more.