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.
Booming ETFs That Worry Wall Street Watchdogs Rake In Billions
By Katie Greifeld and Emily Graffeo"We have this bizarre situation where products have launched and then the SEC staff is saying not to use them," said one ETF expert.
July 21, 2022
House Again Asks SEC for an Index-Linked Annuity Filing FormThe House attached similar pleas to the 2020 and 2021 appropriations packages.
July 21, 2022
Ex-Coinbase Manager Arrested in Crypto Insider-Trading CaseIshan Wahi allegedly tipped off both his brother and a friend when tokens were about to be listed on the crypto exchange.
July 21, 2022
Bill to Require SEC Investor Testing Is RevivedInvestor testing would be required prior to issuing disclosure rules for retail investors.
July 21, 2022
Robinhood's Chief Lawyer Balks at Plan to Rein In Trading Apps: SEC RoundupRobinhood's Dan Gallagher calls the regulatory brouhaha after the meme stock frenzy a "false impetus to regulate."
July 19, 2022
More Reg BI Actions May Be Ahead: SEC Enforcement ChiefExams related to Reg BI have "yielded a number of referrals," Gurbir Grewal tells lawmakers.
July 18, 2022
Equitable to Pay $50M for Misleading Teachers on Annuity FeesEquitable's account statements provided misleading fee info to about 1.4 million variable annuity investors, according to the SEC.
July 18, 2022
BofA Expected to Pay $200M for Personal Device MisuseThe anticipated fine follows a disclosure by Morgan Stanley last week that it faces a similar penalty stemming from the investigation.