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 Advisors Would Have Custody Under New SEC Plan. Here's How.
By Melanie WaddellThe Safeguarding Rule would cover more advisor activities and require "extensive" new relationships with custodians, legal experts say.
February 15, 2023
SEC Votes to Expand Advisor Custody RuleThe rule's broader scope will include any client assets of which an advisor has custody, including cryptocurrencies.
February 10, 2023
Advisor Texting, DOL Fiduciary Rule Are Hot-Button Issues This YearLabor will likely release a fiduciary rule before summer ends, attorney Sara Crovitz tells ThinkAdvisor.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 09, 2023
Vanguard's One-of-a-Kind Fund Design Is About to Get Some CompetitionAnother asset manager makes a move as Vanguard's patent on an important ETF innovation is set to expire.
February 09, 2023
SEC to Consider RIA Custody Rule Changes Next WeekThe agency will also mull changes to the investment advisor recordkeeping rule and to Form ADV.
February 08, 2023
'Accredited Investor' Definition Sparks House DebateAt issue: the SEC's plan to update in April the financial thresholds defining who qualifies.