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.
Sen. Wyden Calls for 6 Economic Actions Against Russia
By Melanie WaddellCongress must address key areas to punish Putin for invading Ukraine, the Senate Finance Committee chair said.
February 22, 2022
Are You Keeping an Eye on Your Service Providers?Here's how RIAs can maintain effective due diligence programs to evaluate third-party risks.
February 22, 2022
Debate: Should Members of Congress Be Barred From Trading Stocks?Two professors discuss whether lawmakers should be required to place certain investment assets in a blind trust.
February 22, 2022
SEC's 'Accredited Investor' Update Could Bring Unintended Consequences — SEC RoundupLawyers Nick Morgan and Tom Zaccaro talk to Brittany Davis of Backstage Capital about how the change could affect investors.
February 18, 2022
Lawyers Release SEC Marketing Rule Checklist as Advisor Questions LingerModel portfolio marketing materials are raising a lot of questions, according to Eversheds Sutherland.
February 18, 2022
Investors Stuck in Biggest Bitcoin Fund Flood SEC With LettersMore than 170 letters have been submitted on Grayscale's application to convert its $26 billion Bitcoin trust into an ETF.
February 17, 2022
Musk Says SEC Out to 'Chill' His Speech With 'Endless' ProbeHe also says the SEC has not paid Tesla shareholders $40 million the agency collected in 2018 settlements over Musk's tweets.
February 16, 2022
Ex-Broker Gets 7 Years in Prison Over $2.4M Scam Targeting Older ClientsThe ex-broker told investors they were funding a shopping app but spent their money on gambling, jewelry and other items, prosecutors said.