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.
More Sweeps, Reg BI Cases on the Way
By Melanie WaddellMore Reg BI-related cases are "in the pipeline," said Christopher Kelly, FINRA's acting enforcement director.
May 15, 2023
SEC Isn't Considering Short-Selling Ban: GenslerCritics have argued such measures are needed because recent declines in some bank stocks have little to do with a lender's outlook.
May 12, 2023
Single-Stock ETFs Get Vote of Confidence in Huge 32-Fund FilingGraniteShares is looking to double the existing lineup of single-stock funds.
May 11, 2023
Anna Kooi Helps Life Insurers See (Potential) DeadbeatsKooi's work could show where losses are leaking into the investment portfolios.
May 11, 2023
HSBC, Scotia Capital Hit With SEC Text Message FinesBoth firms admitted their employees often communicated about securities business using platforms like WhatsApp.
May 10, 2023
Climate Impact Rule Likely on the Ropes: SEC RoundupThe SEC didn't adequately consider whether investors even care about climate disclosures, former commissioner Paul Atkins says.
May 09, 2023
SEC Custody Rule Plan Would Hurt Annuity Access: IRIThe trade group wants the SEC to add an exception to allow insurers to act in lieu of qualified custodians.
May 05, 2023
SEC Marketing Rule Enforcement Actions Could Be on Their WayRecent SEC exams have found "serious" marketing rule-related deficiencies, IAA's associate general counsel says.