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.
Lawyer Breaks Down SEC's Sweep of Advisors' Texts
By Melanie WaddellThe SEC is requiring that firms retain business communications but hasn't defined what that means.
April 27, 2023
House Panel Passes E-Delivery BillThe bill requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
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.