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.
5 Rules the SEC Plans to Review This Year
By Melanie WaddellThe SEC's annual "Reg Flex" agenda is notable for what is not on it, Ron Rhoades says.
June 16, 2022
Senate Confirms 2 New SEC CommissionersJaime Lizárraga replaces Allison Herren Lee, while Mark Uyeda fills a slot vacated by Elad Roisman.
June 16, 2022
SEC Seeks Comment on 'Information Providers' Acting as AdvisorsSEC wants to know which index providers, model portfolio providers and pricing services might fit the definition of an investment advisor.
June 16, 2022
In First Reg BI Action, SEC Hits BD Over Sales of Risky Bonds to RetireesConsumer advocate Micah Hauptman says he's glad to see the rule enforced "in a way that should send a strong message."
June 14, 2022
ESG Plan Fails to Protect Retail Investors: SEC RoundupThe plan likely exceeds the SEC's authority, says Larry Cunningham, George Washington Law School professor of corporate governance.
June 13, 2022
Schwab to Pay SEC $186M Over 'No Hidden Fee' Claims for Cash-Heavy RoboIntelligent Portfolios' cash allocations, up to 29%, made money for Schwab while reducing returns, the SEC said.
June 10, 2022
Advisor Hunted by FBI Is Ordered to Pay $12MAdvisor Christopher Burns disappeared in 2020 after allegedly scamming about 100 investors.
June 09, 2022
Senate Panel OKs 2 New SEC Commissioner NomineesThe nominations of Jaime Lizárraga, a Pelosi advisor, and Mark Uyeda, a securities counsel, now move to the full Senate.