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.
Our Clients Want Us to Text Them. Here's How.
By Brian McLaughlinTexting comes with regulatory challenges, but it's clients' preferred communication method.
September 22, 2022
SEC Set to Let Wall Street Keep Payment-for-Order-Flow DealsThough the news is a win for brokerages like Schwab and Robinhood, the firms may still face tough new regulations.
September 21, 2022
Advisor Charged With Securities Fraud in Insider Trading SchemeAn advisor allegedly traded after a friend discussed a potential acquisition at the company he worked for.
September 21, 2022
How Advisors Can Get Ready for New SEC Marketing RuleHere's what to know about embracing new marketing channels compliantly.
September 20, 2022
Waddell & Reed Ordered to Pay $776K Over Reverse ChurningThe firm allegedly breached its fiduciary duty by keeping clients who traded infrequently in wrap-fee accounts.
September 20, 2022
Morgan Stanley to Pay $35M SEC Fine Over Data SecurityAbout 15 million clients' details were compromised over a five-year period starting in 2015.
September 19, 2022
SEC Warns Investors on Performance ClaimsThe commission tells investors to make sure they understand how performance claims are calculated and presented.
September 19, 2022
SEC Releases Risk Alert on Marketing Rule Exam PrioritiesThe SEC highlights exam focus areas as the Nov. 4 compliance date approaches.