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.
Don't Make These Costly D&O Insurance Mistakes: SEC Roundup
By Nick Morgan and Tom ZaccaroAmy Jeter and Chris Crawford explain what to consider as the SEC proposes changes to insider trading plan requirements.
April 04, 2022
SEC Warns Advisors on Rollovers Under Reg BIAdvisors must consider costs, investment options and other account features before recommending a rollover, regulators say in new guidance.
March 30, 2022
12b-1 Fees in Wrap Accounts Are an SEC Exam Priority in 2022Also on the 2022 priority list are other revenue sharing arrangements and advisor conflict-of-interest policies.
March 29, 2022
House Panel to Consider Bill That Might Make Hot Annuities HotterH.R. 4865 could cut the cost of offering registered index-linked annuities.
March 28, 2022
Ex-Broker Sentenced to Over 4 Years in Prison for Elder FraudThe ex-rep, who worked for Morgan Stanley before the fraud took place, also must pay over $968,000 to the victims.
March 25, 2022
Five Key Points From SEC's Proposal for Climate DisclosuresThe agency just issued a 500-plus-page proposed rule for public companies; here are the highlights.
March 25, 2022
SEC Acting Exam Director Kahl to DepartRichard Best, director of the SEC's New York Regional Office, will take his spot.
March 25, 2022
Ex-SEC Commissioner Paredes on Regulating Crypto: SEC RoundupTroy Paredes discusses what's next in digital assets regulation with hosts Nick Morgan and Tom Zaccaro.