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.
SEC Hits Firm, CEO for Failure to File Form CRS, No Compliance Policies
By Melanie WaddellTwo Point Capital Management adopted as its written compliance policies, without any modification, a handbook published by a professional trade group.
December 02, 2022
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABAPIABA is again asking the SEC to reject FINRA's proposal to home offices as non-branch locations.
November 29, 2022
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness TamperingFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 23, 2022
4 New SEC Rules to WatchThe agency has proposed and adopted several "significant" new rules in the past few weeks, its Investment Management chief says.
November 23, 2022
From Tom Brady to Shaq, FTX's Celebrity Promoters May Be On the Hook for DamagesThe stars' wealth makes them a juicy target for investors looking to recover some losses from the bankrupt cryptocurrency exchange.
November 23, 2022
Goldman Sachs to Pay $4M SEC Penalty in ESG Fund CaseRegulators says the firm "had several policies and procedures failures" involving ESG research used to pick and track stock holdings.
November 22, 2022
Tom Brady, Steph Curry FTX Endorsements Probed by Texas RegulatorPayments the stars received to endorse the crypto exchange are being reviewed, along with disclosures and how accessible they were to retail investors.
November 18, 2022
SEC Orders Public Proceedings Over 'Misleading' Crypto OfferingsThe SEC is considering whether to suspend the registration of American CryptoFed DAO's Ducat and Locke tokens.