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 Whistleblower Architect on the Problem With Frivolous Tips: SEC Roundup
By Nick Morgan | Tom ZaccaroIn this episode, Jordan Thomas weighs in on what, if anything, should be done about frivolous tips.
March 07, 2022
Ex-LPL Rep Who Put Clients' Funds in Tequila Company Takes Shots From FINRAThe former LPL and Royal Alliance broker has been suspended for seven months and fined $5,000.
March 04, 2022
Schwab Dips Toe Into Crypto ETF MarketThe firm filed a prospectus with the SEC for an ETF targeting companies benefiting from crypto and crypto-related tech.
March 04, 2022
SEC Slams RIA With $30M Fine Over 12b-1 Fees, Proprietary FundsThe SEC is getting "aggressive" in fighting breaches of fiduciary duty, Ron Rhoades told ThinkAdvisor.
March 03, 2022
Cybersecurity 'Keeps Me Up at Night': SEC's CrenshawComplex products are another major concern, the commissioner said at an Investment Adviser Association conference.
March 03, 2022
Cambridge in Hot Water Over Revenue Sharing, Wrap Account ConflictsCambridge failed to disclose conflicts of interest and breached its duty of care related to fund selection, the SEC said.
March 01, 2022
Sen. Wyden Calls for 6 Economic Actions Against RussiaCongress must address key areas to punish Putin for invading Ukraine, the Senate Finance Committee chair said.
February 28, 2022
2 Members of $20M Scam Convicted, Could Face Rest of Lives in PrisonThe Arizona and California men are the latest players in the multi-state conspiracy that deceived hundreds of mostly older investors.