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.
SEC Prevails in 12b-1 Fee Case Against Advisory Firm
By Melanie WaddellRather than settle, the firm says it spent two years fighting to stop the SEC's push to create "new regulation without following the formal rule-making process."
March 21, 2022
15 Most Overpaid CEOs of Public Companies: 2022Shareholder advocates look at what CEO pay would be if it were tied to cumulative total shareholder returns and other factors.
March 21, 2022
SEC to Require Climate-Change Risk Disclosures Under New PlanThe agency plans to ask firms to outline risks a warming planet poses to their operations in registration statements, annual reports and other documents.
March 18, 2022
Barbara Roper's Former Role Is Filled by a Familiar FaceAfter a stint at the SEC, Micah Hauptman is returning to the Consumer Federation of America.
March 16, 2022
Ex-LPL, Wells Rep Stole $500K, Gambled With Client Money, Prosecutor SaysIf convicted of stealing over $500,000 from clients, the barred broker faces a maximum of 65 years in prison.
March 16, 2022
DOL's New Rollover Rules Are Coming. Here's How to Be ReadyWhile most parts of the PTE are in effect, the rollover rules will be enforced starting July 1.
March 15, 2022
SEC Commissioner Lee to Step DownAllison Herren Lee, whose term expires in June, will step down when a successor is confirmed.
March 11, 2022
Behind Allianz's $4B Fund Blowup, Red Flags and Fat FeesAllianz, which also owns Pimco, has resolved some legal woes but continues to pick up the pieces.