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.
New Bill Would Rein In SEC Rulemaking
By Melanie WaddellRep. Wagner, R-Mo., says that the bill makes sure "the SEC doesn't arbitrarily implement unnecessary and complex rules."
December 16, 2022
11 Big Advisor Regs That Moved Forward in 2022The SEC, FINRA and DOL have proposed or finalized several rules this year.
December 15, 2022
FTX Collapse Could Wake Up Washington on Crypto Regs: SEC's Peirce"I'm hoping these events can be a catalyst for us to get to work," the commissioner tells Ric Edelman.
December 15, 2022
TIAA Trader Charged in $47M Insider SchemeLawrence Billimek worked for TIAA unit Nuveen, where he allegedly sent tips to former day trader Alan Williams; both were arrested Wednesday.
December 15, 2022
Massachusetts Adopts Annuity Sales RegulationsSupporters of the Regulation Best Interest-based approach see 37 actual or pending approvals.
December 14, 2022
SEC Proposes New Best-Execution Rule, Draws CriticismInvestor advocate Tyler Gellasch called the proposal "a huge disappointment."
December 14, 2022
SEC Charges 8 in $100M 'FinTwit' Stock SchemeAccording to the complaint, the defendants posed as expert traders to amass and manipulate "legions of followers on social media."
December 13, 2022
NAIC to Spotlight Annuity Sales Standard Update Gray ZonesThe list of states without updates includes Florida and Indiana as well as California and Oregon.