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 Expands Whistleblower Program
By Melanie WaddellThe changes allow the SEC to pay whistleblower awards for certain actions brought by other entities as well as increase an award amount.
August 26, 2022
SEC Loophole Lets Funds Mislead Investors on Performance: StudySome funds change their benchmark indexes to "manipulate the benchmark-adjusted performance they present to investors," researchers found.
August 25, 2022
Free Trading Isn't Free, But We're Still Better OffThere is a perception that shadowy market makers might be "ripping off" investors. But that isn't really true.
August 16, 2022
Wall Street's $2B WhatsApp Fines Are Years in the MakingThe regulators have taken the view that any use of personal devices for business communications is problematic.
August 16, 2022
SEC Should Nix Fund-Names Rule: ICI's PanThe rule would mean the SEC would second-guess how investment professionals choose investments, ICI says.
August 16, 2022
SEC Charges 18 in Scheme Tied to Hacked Brokerage AccountsOver 31 online retail brokerage accounts were hacked and improperly used to buy certain stocks and manipulate prices, trading volume.
August 16, 2022
Why Balking at SEC Rules Will Not Make You a Target: SEC RoundupSuzan Rose of the Alternative Investment Management Association explains why firms should not be reluctant to air their views on SEC proposals.
August 15, 2022
Regulators Work to Keep Hot Annuity Products FairDraft guidelines could affect what happens when RILA holders pull cash out early.