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, FINRA Priorities: 7 Steps to Stay Compliant
By John ManganaroThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 09, 2023
SEC to Consider RIA Custody Rule Changes Next WeekThe agency will also mull changes to the investment advisor recordkeeping rule and to Form ADV.
February 08, 2023
'Accredited Investor' Definition Sparks House DebateAt issue: the SEC's plan to update in April the financial thresholds defining who qualifies.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.
February 07, 2023
Regulators Warn of Self-Directed IRA RisksSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.
February 07, 2023
SEC Worries About Rating Analyst OverloadIn 2021, about 1% of the ratings that the SEC tracks were insurance and annuity ratings.
February 06, 2023
Dually Registered Firm Sold Complex Structured Products to RetireesThe SEC fined Centaurus Financial and two employees for selling variable interest rate structured products to unqualified customers.