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-Head of RIA Sentenced to 12 Years in Prison Over $120M Scam
By Jeff BermanThe former IIG managing partner and CIO was also sentenced to three years of supervised release.
April 06, 2022
Biden Nominates 2 New SEC CommissionersThe nominees would replace former Commissioner Elad Roisman and departing Commissioner Allison Herren Lee.
April 05, 2022
Trendspotter: SEC Cracks Down on Revenue Sharing, Including 12b-1 FeesRevenue sharing arrangements continue to be an SEC exam focus this year.
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.