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.
FTX Collapse Could Wake Up Washington on Crypto Regs: SEC's Peirce
By Ric Edelman"I'm hoping these events can be a catalyst for us to get to work," the commissioner tells Ric Edelman.
December 14, 2022
SEC Proposes New Best-Execution Rule, Draws CriticismInvestor advocate Tyler Gellasch called the proposal "a huge disappointment."
December 14, 2022
SEC Charges 8 in $100M 'FinTwit' Stock SchemeAccording to the complaint, the defendants posed as expert traders to amass and manipulate "legions of followers on social media."
December 13, 2022
NAIC to Spotlight Annuity Sales Standard Update Gray ZonesThe list of states without updates includes Florida and Indiana as well as California and Oregon.
December 13, 2022
Here Are the Wildest Parts of Bankman-Fried's SEC AllegationsThe FTX co-founder orchestrated a massive, years-long fraud, the SEC says.
December 08, 2022
Is SEC Regulation Best Execution a Good Idea? Experts Weigh InFINRA's best execution rule was written "decades ago" and is "wildly outdated," says Tyler Gellasch of the Healthy Markets Association.
December 07, 2022
SEC to Propose New Regulation Best ExecutionThe rule, which affects client trades, will be considered at an open meeting next week.
December 07, 2022
Senate Passes RILA Annuity BillThe bill would direct the SEC to create a new registration form to replace the "largely inapplicable forms" currently used.