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.
12 Life and Annuity Changes in $1.7T Spending Bill
By Allison BellThe bill has several provisions to make it easier to annuitize workplace retirement plan assets.
December 16, 2022
How Enforcement Will Play Out in 2023: SEC RoundupLook for "more unique and out-of-the box applications of the insider trading theory," says Tom Zaccaro.
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."