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.
Alaska Updates Annuity Sales Standards
By Allison BellThe fall elections could affect state suitability update efforts in 2023.
October 27, 2022
Ex-Securities America Broker Charged With Defrauding Clients of $260KThe barred broker allegedly used the funds to pay off credit cards and gamble at multiple casinos.
October 26, 2022
SEC Marketing Rule Brings New Freedom, New Requirements: Brian McLaughlinThe Orion exec discusses what advisors can do now and how to survive the upcoming SEC exam sweep.
October 26, 2022
Executive-Bonus Clawbacks Get Long-Delayed Approval From SECCorporate executives will now have to pay back bonuses based on mistakes in their businesses' financial reporting.
October 26, 2022
New SEC Plan Says RIAs Must Vet Third-Party ServicesThe SEC doesn't recognize "how little leverage firms have over many service providers," says IAA's Karen Barr.
October 24, 2022
Is Reg FD Unconstitutional? — SEC RoundupFlorida International University College of Law Dean Antony Page talks about an interesting case that's going to trial.
October 21, 2022
5 Top Lessons From the WhatsApp Crackdown: Law FirmThe SEC and FINRA are still watching, so firms should revisit their policies now, says attorney Issa Hanna.
October 19, 2022
Cetera to Pay $9M Over 12b-1 Fee ViolationsCetera Advisors used shares with 12b-1 fees when it knew clients were eligible for lower-cost shares.