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.
Allianz Fund Managers' Paydays Could Be Followed by Prison
By Neil Weinberg and David VoreacosProsecutors say Tournant told investors safety was his top priority but secretly took undisclosed risks, resulting in fraud that cost them $7 billion.
May 17, 2022
More Reg BI Rollover Guidance Likely on Its Way: SEC ChiefThe agency may elaborate on guidance it gave in March, Gary Gensler said at a NASAA conference.
May 17, 2022
Allianz Unit to Plead Guilty, Pay $5.8B Over Funds' CollapseThe total payout for the Structured Alpha Funds scandal includes a $1 billion fine to the SEC.
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.