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.
Spending Bill Kills SEC's New Custody Rule, Reg Best Execution
By Melanie WaddellThe bill bars the SEC from using funds to finalize or implement these two rules and others.
June 20, 2023
Crypto Exchange Backed by Schwab, Fidelity Goes LiveEDX Markets, which does not custody digital assets, offers institutional trading in Bitcoin, Ethereum, Litecoin and Bitcoin Cash.
June 16, 2023
PIMCO Hit With $9M SEC FineIn one of two enforcement actions, PIMCO failed to waive $27 million of advisory fees as it had agreed.
June 16, 2023
FINRA Exams Are Changing, Execs SayFINRA is conducting more on-site exams, but examiners will spend less time on-site.
June 14, 2023
5 Big Rules the SEC Plans to Finalize This YearThese rules are on the list despite industry pushback, says Amy Lynch of FrontLine Compliance.
June 14, 2023
Battle With Law Firm Over China Hack Comes to a Head: SEC RoundupThe SEC wants information on Covington & Burling's advisor and BD clients hit in a 2020 cyberattack.
June 14, 2023
House GOP Seeks to Remove SEC Chair Gensler, Restructure CommissionThe proposed SEC Stabilization Act would add a sixth commissioner and ensure political party parity.
June 13, 2023
SEC to Weigh New AI Rules for BrokeragesA plan to rein in conflicts of interest associated with the use of artificial intelligence could be introduced as soon as October.