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.
SEC 12b-1 Fee, Custody Rules Likely Out by Year-End
By Melanie WaddellBoth rules "are currently in the works," says compliance consultant Amy Lynch.
September 08, 2022
SEC Chief Renews Vow to Crack Down on Crypto Industry Rule-BreakersCrypto investors deserve the same protections as investors in other securities, Gary Gensler said.
September 08, 2022
SEC Strikes Again on 12b-1 Fees, Fining Another RIAAventura Capital Management must pay more than $900,000 for 12b-1 fee and revenue sharing infractions.
September 07, 2022
Oppenheimer Fights $37M Arb Ruling Tied to Ponzi SchemeA FINRA panel said the BD must pay damages to investors allegedly bilked in a scheme run by a former rep.
September 05, 2022
More States Adopt Advisor CE RequirementsWhile many jurisdictions have adopted rules similar to the NASAA model rule, rules vary from state to state.
September 01, 2022
SEC Charges Malta-Based RIA in $75M SchemeThe RIA allegedly orchestrated the frauds through complex investment structures and a web of affiliate companies.
August 31, 2022
Blowing the Whistle on How Insider Tips Are Handled: SEC RoundupIn a secretive process, the SEC looks to private lawyers to examine whistleblower tips, professor Alex Platt says.
August 30, 2022
Reg BI Enforcement to Zero In on RecommendationsThe SEC has released a strategic plan, setting out its goals over the next four years.