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.
Ex-Broker Pleads Guilty To Stealing $500K From Clients
By Jeff BermanJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.
November 08, 2022
Still Not Ready for the SEC's New Marketing Rule? Here's What to DoCompliance experts air their views on what advisors should be doing now to be ready if the SEC comes knocking.
November 08, 2022
SEC's Approach to Equitable Settlement Questioned by Legal VeteranRichard Choi said he was surprised to see how the agency now views retirement plan account statements and fee disclosures.
November 07, 2022
New SEC Marketing Rule: How to Use TestimonialsThe rule unlocks a broad range of new advertising avenues for advisors but comes with several compliance-related minefields.
November 07, 2022
Hot Annuities Face SEC Form ReviewersFor one agency staffer, a major RILA turnoff is vanishing crediting rate strategies.
November 03, 2022
'Questions Abound' as SEC Marketing Rule Deadline Is HereAdvisors are still confused thanks to the "lack of credible guidance" from the SEC, says Kroll's Ken Joseph.
November 02, 2022
SEC Expected to Be 'Heavy-Handed' With Marketing Rule EnforcementSimply continuing to avoid testimonials carries its own risks, Bill Simpson of Hearsay Systems tells ThinkAdvisor.
November 02, 2022
Vanguard to Test Giving Retail Investors More Voting PowerThe fund giant is planning a trial next year to give clients more say over how their shares are voted at corporate meetings.