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.
Free Trading Isn't Free, But We're Still Better Off
By Jared DillianThere is a perception that shadowy market makers might be "ripping off" investors. But that isn't really true.
August 16, 2022
SEC Charges 18 in Scheme Tied to Hacked Brokerage AccountsOver 31 online retail brokerage accounts were hacked and improperly used to buy certain stocks and manipulate prices, trading volume.
August 16, 2022
Why Balking at SEC Rules Will Not Make You a Target: SEC RoundupSuzan Rose of the Alternative Investment Management Association explains why firms should not be reluctant to air their views on SEC proposals.
August 15, 2022
Regulators Work to Keep Hot Annuity Products FairDraft guidelines could affect what happens when RILA holders pull cash out early.
August 12, 2022
LPL Fined $300K Over Client-Reserve ErrorsThe firm's mistakes resulted in two deficiencies totaling about $162 million, FINRA says.
August 11, 2022
Lawmaker Introduces Bill to Stop SEC's ESG PlanRep. French Hill's bill states that the SEC "may not" finalize its planned "Enhancement and Standardization of Climate-Related Disclosures."
August 11, 2022
Barred Broker Sentenced to 5 Years in Prison Over $7M Ponzi SchemeThe ex-broker used clients' funds on credit card and country club payments, as well as Red Sox tickets.
August 10, 2022
SEC Proposes More Changes to Private-Funds FormThe proposal "would improve the quality of the information we receive from all Form PF filers," says SEC Chair Gary Gensler.