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.
'Accredited Investor' Definition Sparks House Debate
By Melanie WaddellAt issue: the SEC's plan to update in April the financial thresholds defining who qualifies.
February 07, 2023
Regulators Warn of Self-Directed IRA RisksSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.
February 07, 2023
SEC Worries About Rating Analyst OverloadIn 2021, about 1% of the ratings that the SEC tracks were insurance and annuity ratings.
February 06, 2023
Dually Registered Firm Sold Complex Structured Products to RetireesThe SEC fined Centaurus Financial and two employees for selling variable interest rate structured products to unqualified customers.
February 03, 2023
How GIPS Can Help Advisors Boost Client ConfidenceBecoming GIPS-compliant can be a lengthy and costly process, but it's worth the investment.
February 02, 2023
NYSE Glitch Caught Up in Fight Over SEC Rewrite of Trading RulesSchwab and Robinhood say the incident was a reason for concern and an argument against exchange-run auctions.
February 01, 2023
5 Ways BDs Fail to Meet Reg BI Care Obligation: SECSome firms have been telling reps what to do but giving no guidance on how to do it.
February 01, 2023
Be Ready for SEC's Proposed RIA Outsourcing RuleA proposed rule would impose new due diligence requirements on RIAs seeking certain third-party services.