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.
15 Hottest Compliance Topics for Advisors in 2022
By Melanie WaddellHere's what's on advisory firms' minds now, according to the Investment Adviser Association.
July 14, 2022
Morgan Stanley to Pay $200M Over Misuse of Personal DevicesEarlier, regulators imposed a similar fine on JPMorgan, noting that managers had used WhatsApp and personal email for work.
July 12, 2022
Barred Broker Sentenced to Prison for $12M Ponzi SchemeMatthew Eckstein will get up to 10.5 years in prison for his role in bilking more than 50 investors, the prosecutor said.
July 12, 2022
Single-Stock ETFs Move Closer to Market Despite SEC ConcernsAXS Investments filed paperwork Monday to launch funds holding derivatives tied to the performance of stocks like Tesla and Nvidia.
July 12, 2022
SEC Needs Budget Boost to Enforce Reg BI: IRI to SenatorsThe SEC is seeking an 8% increase in its budget for fiscal year 2023, part of which will go toward oversight of Reg BI compliance.
July 07, 2022
SEC's First Reg BI Action Singles Out Individual AdvisorsUntil recently, how the commission would interpret and enforce the new rules was largely unknown.
July 06, 2022
Barred Broker Who Did Merrill Stint Indicted in $100M Crypto ScamJoshua David Nicholas and two other defendants were charged with conspiracy to commit wire fraud and securities fraud.
July 05, 2022
Scott MacKillop: The SEC Warning TAMPs Don't Want to Talk AboutSEC is increasing scrutiny of TAMP selection, so choose carefully, the First Ascent Asset Management CEO warns.