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.
Few RIAs Using Testimonials, Reviews: Study
By Michael S. FischerMost advisors are not ready to comply with the SEC's new marketing rule, fintech firm Indyfin finds.
May 16, 2022
SEC Plans Cyber Rule for BDsThe proposal will be similar to one issued in February for RIAs, Chairman Gary Gensler says.
May 13, 2022
Anti-Money Laundering Rule for Advisors May Be Revived: SEC RoundupLaurel Rimon and Braddock Stevenson, formerly of the CFPB and FinCEN, discussed whether the AML plan will resurface.
May 12, 2022
S&P Rating Method Update Could Ding Annuities: Hearing WitnessAn ACLI representative said the current proposal resembles Europe's Solvency II approach.
May 12, 2022
House Passes Bill to Fund State Efforts to Protect Older InvestorsHouse also passed The Small Business Mergers, Acquisitions, Sales, and Brokerage Act.
May 11, 2022
SEC's Gensler Says Crypto Exchanges Trading Against ClientsGensler's concerned that crypto exchanges aren't putting up proper walls between different parts of their businesses.
May 09, 2022
Bill to Fund States' Anti-Fraud Efforts Up For House VoteUnder the bill, the SEC would implement a grant program to help states protect older investors.
May 05, 2022
Barred Broker Gets Over 9 Years in Prison for $100M Ponzi SchemeThe former broker was convicted of bilking more than 40 investors.