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.
Ex-SEC Chairman Says Private Fund Plan Goes Too Far: SEC Roundup
By Nick Morgan and Tom Zaccaro"This proposal will be reviewed by the courts, there's no doubt," Harvey Pitt says.
May 25, 2022
SEC Sends Email Warning on Marketing Rule ComplianceThe regulator is serving notice "that it will aggressively pursue actions against firms," says Lynch of FrontLine Compliance.
May 25, 2022
SEC Hits Ameriprise Unit for Improper Variable Annuity SwitchingRiverSource wholesalers used color-coded lists to highlight annuity exchange opportunities among Ameriprise clients, the SEC says.
May 24, 2022
SEC Names Director of Exam DivisionRichard Best has been the division's acting director since March 23.
May 24, 2022
Don't Wait! Get Ahead of SEC Scrutiny With Mock ExaminationsBeing proactive can keep you out of the agency's glare and help reduce Errors and Omissions claims.
May 23, 2022
Insurance Advisors Market Advisors to CongressPriorities include sales standards, Secure 2.0 and access to independent contractor status.
May 23, 2022
BNY Mellon Investment Adviser Hit With $1.5M SEC Fine for ESG InfractionsBNY Mellon did not always perform the ESG quality review that it disclosed using as part of its investment selection process.
May 20, 2022
SEC Fines Wells Fargo Advisors $7M Over Anti-Money Laundering FailuresWells Fargo failed to file at least 34 suspicious activity reports in a timely manner.