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.
NAIC to Spotlight Annuity Sales Standard Update Gray Zones
By Allison BellThe list of states without updates includes Florida and Indiana as well as California and Oregon.
December 07, 2022
SEC to Propose New Regulation Best ExecutionThe rule, which affects client trades, will be considered at an open meeting next week.
December 07, 2022
Senate Passes RILA Annuity BillThe bill would direct the SEC to create a new registration form to replace the "largely inapplicable forms" currently used.
December 06, 2022
SEC Hits Firm, CEO for Failure to File Form CRS, No Compliance PoliciesTwo Point Capital Management adopted as its written compliance policies, without any modification, a handbook published by a professional trade group.
December 05, 2022
SEC Risk Alert Highlights Firms' Identity Theft FailuresThe agency found violations that could leave customers vulnerable to identity theft and financial loss.
December 02, 2022
Ex-LPL Rep Charged With Stealing $1.3M From Client With DementiaBradley Goodbred was arrested and charged with 23 felonies.
December 02, 2022
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABAPIABA is again asking the SEC to reject FINRA's proposal to home offices as non-branch locations.
November 29, 2022
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness TamperingFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.