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.
House Passes Financial Exploitation Prevention Act
By Melanie WaddellThe bill, introduced by Rep. Ann Wagner, is aimed at protecting older investors.
January 27, 2023
5 New House Committee Chiefs for Advisors to WatchThese lawmakers have sway over issues like Social Security and Medicare reform and fiduciary rules.
January 27, 2023
401(k) Income Solutions Threaten IRA Rollovers"In-plan" income solutions could go mainstream sooner than you think, Raymond James' Don MacQuattie tells ThinkAdvisor.
January 26, 2023
Vestmark Adds 6 New SMA Strategies: Tech RoundupAlso, Financial Services Institute teams with Broadridge to introduce free Form CRS Video Guide for FSI members.
January 25, 2023
NYSE Finds Culprit of Glitch That Caused Market ChaosOver 1,300 trades and some 84 stocks were affected and marked as "aberrant" yesterday, the exchange said.
January 24, 2023
NYSE Says Certain Trades to Be Canceled After Glitch at OpenBanks, retailers and industrial firms were among those affected, including Wells Fargo, Morgan Stanley and Walmart.
January 24, 2023
FSI Chief Vows to Keep Fighting DOL Indie Contractor RuleFSI is also bracing for Labor to release a new fiduciary rule this year.
January 24, 2023
SEC Fines Bloomberg Finance $5M Over 'Misleading' Securities Pricing ProductThe firm consented to the SEC's cease-and-decease proceedings without admitting or denying the allegations.