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.
LPL Fined $300K Over Client-Reserve Errors
By Jeff BermanThe firm's mistakes resulted in two deficiencies totaling about $162 million, FINRA says.
August 10, 2022
SEC Proposes More Changes to Private-Funds FormThe proposal "would improve the quality of the information we receive from all Form PF filers," says SEC Chair Gary Gensler.
August 05, 2022
Ex-Rep Booted Over Claims of Racism Sues LPL for $95MThe broker-dealer ended its affiliation with Eileen Cure after claims surfaced online that she had refused to hire Black job-seekers.
August 05, 2022
What to Know About the 5 Stages of an SEC AuditJason Vinsonhaler of RIA in a Box discusses what advisors can expect and how to prepare.
August 04, 2022
Reg BI Will Be Defined Case by Case, Cetera's Chief Legal Officer Says: SEC RoundupThe SEC "intends to enforce Reg BI however they define it," says Lisa Gok.
August 03, 2022
New SEC Guidance Tackles How to Handle Conflicts of InterestIn addressing conflicts under Reg BI and the Advisers Act fiduciary standard, disclosure isn't enough, the SEC warns.
July 28, 2022
SEC's Gensler Steps Up Push to Get Crypto Exchanges to RegisterHe has asked agency staff to work with digital-asset exchanges so that they are "regulated much like securities exchanges."
July 28, 2022
House Financial Services Committee OKs Annuity BillH.R. 4865 could create a simpler registration process for registered index-linked annuities.