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 Charges Advisor in Self-Directed IRA Scam
By Melanie WaddellInvestors were persuaded to sell their securities and invest the proceeds in gold and silver coins, the SEC said.
January 27, 2022
SEC Finds Problems in Private Fund Advisor ExamsApproximately 35% of all SEC-registered advisors manage approximately $18 trillion in private fund assets.
January 26, 2022
SEC Proposes Changes to Form PF for Private Equity, Hedge Fund AdvisorsThe plan would help federal regulators assess systemic risk, said SEC Chairman Gary Gensler.
January 25, 2022
Ex-UBS Broker Spent $4.6M of Client Money on Gifts for Women: SECThe former broker is charged with defrauding a family out of more than $5 million.
January 24, 2022
SEC Chief Wants Advisors, BDs to Improve 'Cyber Hygiene'One possible course of action: altering the "timing and substance" of required customer notifications under Reg S-P.
January 19, 2022
Compliance Group Releases CCO Liability FrameworkCompliance officers are concerned about several types of incidents in which they could be found personally liable, a survey found.
January 19, 2022
SEC Investor Advisory Committee Searches for New MembersThe committee provides recommendations to the agency on ways to protect investors and improve securities regulations.
January 18, 2022
Is the SEC Costing Index ETF Investors Money?Investors probably don't expect SEC disclosure rules to hand some of their potential profits to other "strategic" market participants.