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.
March CAT Deadline Raises Investor Privacy Alarm: SEC Roundup
By Nick Morgan and Tom ZaccaroKen Bentsen and Ellen Greene of SIFMA discuss how the SEC can protect investor privacy now.
January 17, 2023
Ex-AARP Lobbyist Named New SEC Investor AdvocateCristina Martin Firvida oversaw federal and state advocacy on Social Security, pensions and more at AARP.
January 17, 2023
New SEC Marketing Rule FAQ Could be 'Problematic,' Compliance Pro SaysExperts say the directive on displaying gross and net performance doesn't align with how firms actually calculate performance.
January 17, 2023
Schwab Sends Settlement Checks to Robo-Advisor ClientsClients should be aware of possible tax implications from the checks.
January 11, 2023
Secure 2.0 Is Here, but Expect a Slow RolloutSome of the changes mandated in the law may take years to materialize — if they ever do.
January 09, 2023
Ex-Broker to Fork Up $3M Over Fintech FraudThe SEC says Paul Hess and other defendants tricked investors into buying unregistered interests in shell companies.
January 09, 2023
NASAA Plans 2023 Push for Bad Actors DatabaseState securities regulators want Congress to pass a bill requiring the creation of a fraudster database.
January 06, 2023
5 Keys to a Texting Policy That Will Stand Up to SEC ScrutinyThe SEC is aggressively looking into texting by financial professionals. Does your firm have appropriate policies and procedures?