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.
Minnesota and South Carolina Update Annuity Sales Standards
By Allison BellHalf of all states have now adopted new standards based on an insurer-backed NAIC model.
June 07, 2022
Sole-Proprietor RIA Becomes Latest Target of SEC's 12b-1 Fee ActionsThe SEC ordered KMA to pay more than $300,000.
June 06, 2022
SEC Fines Another Advisory Firm for Form CRS FailuresAdirondack Financial Services Corp. is in trouble with the SEC after missing its regulatory deadlines.
June 03, 2022
Is It Possible to Disclose a Cyberattack in 4 Days? — SEC RoundupNick Morgan and Tom Zaccaro talk with ex-SEC cyber official John Reed Stark about the regulator's proposal.
May 31, 2022
SEC Hits Madison Avenue Securities Over Revenue Sharing, 12b-1 FeesThe firm must pay more than $800,000.
May 27, 2022
SEC Investor Advocate Rick Fleming to DepartFleming, the first investor advocate for the agency, is leaving July 1.
May 26, 2022
Ex-SEC Chairman Says Private Fund Plan Goes Too Far: SEC Roundup"This proposal will be reviewed by the courts, there's no doubt," Harvey Pitt says.
May 25, 2022
SEC to Crack Down on Funds' Misleading ESG Claims With New RuleConcerns are mounting over a lack of consistent standards for investments claiming to be sustainable.