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.
7 Big Rules on the SEC's 2023 To-Do List
By Melanie WaddellAdvisor custody regs are a priority this year, along with a few controversial rules.
December 27, 2022
Ex-Broker Gets 20 Years in Prison Over Ponzi, COVID-19 Fraud SchemesChristopher Parris took $7.4 million in advance payments for N95 masks he knew he couldn't deliver.
December 22, 2022
10 of the Biggest Financial Frauds of the Past 25 YearsFTX is only one of the many massive fraud cases to rock the financial world in recent decades.
December 22, 2022
12 Life and Annuity Changes in $1.7T Spending BillThe bill has several provisions to make it easier to annuitize workplace retirement plan assets.
December 19, 2022
New Bill Would Rein In SEC RulemakingRep. Wagner, R-Mo., says that the bill makes sure "the SEC doesn't arbitrarily implement unnecessary and complex rules."
December 16, 2022
New Bill Requires SEC to Write E-Delivery RuleFinancial services trade groups cheered the bill.
December 16, 2022
How Enforcement Will Play Out in 2023: SEC RoundupLook for "more unique and out-of-the box applications of the insider trading theory," says Tom Zaccaro.
December 16, 2022
11 Big Advisor Regs That Moved Forward in 2022The SEC, FINRA and DOL have proposed or finalized several rules this year.