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.
Watch Out, BDs! Here's What Triggers an SEC Exam
By Melanie WaddellA new Risk Alert details red flags that could make BDs prime targets for examiners.
June 04, 2024
House Spending Bill Cuts SEC Budget, Curbs CAT Data CollectionThe legislation would also block enforcement of the unpopular Staff Accounting Bulletin 121 on digital assets.
May 31, 2024
Will an Ex-Fidelity Advisor's Reg BI Suit Catch the SEC's Eye?The case could have implications for the broader financial services industry, lawyers say.
May 31, 2024
Leaders Need 'Micro-Knowledge' to Achieve Big Goals"Dig in and spend time with your teams," advises Jackson's Scott Golde, Luminaries winner for executive leadership.
May 28, 2024
Fidelity Seeks More Time to Answer Whistleblower SuitFidelity seeks more time to answer a suit alleging it put profits over clients' best interests.
May 28, 2024
Wall Street Moves to Fastest Settlement of Trades in a CenturyIt's not the first time Wall Street has undergone such a change, but it could be the most challenging.
May 24, 2024
Will This Crypto Requirement Be Killed? — SEC RoundupCongress voted to repeal an accounting requirement that crypto assets be reported as liabilities. Will Biden approve?
May 23, 2024
SEC Opens the Door for Spot Ether ETFs in Big Crypto VictoryFirms like BlackRock, Fidelity, VanEck and ARK are vying for crucial first-mover advantage in the race to launch this type of fund.