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.
ESG Funds Plan May Create 'Garbage In, Garbage Out' Problem: SEC Roundup
By Nick Morgan and Tom ZaccaroIn this episode, ICI President Eric Pan and Paul Hastings partner Ira Kustin discuss the possible unintended consequences of the SEC's ESG proposal.
June 29, 2022
UBS to Pay $25M SEC Penalty Over Complex Options StrategyUBS advisors sold the Yield Enhancement Strategy even though some didn't understand the risks themselves, regulators say.
June 27, 2022
5 Rules the SEC Plans to Review This YearThe SEC's annual "Reg Flex" agenda is notable for what is not on it, Ron Rhoades says.
June 23, 2022
How to Avoid Trouble With Ethics Codes, Nonpublic InformationThe SEC warned advisory firms on potential ethics violations and insider trading problems.
June 23, 2022
SEC to Propose New Rules for Online Brokers' Game-Like FeaturesThe rule plan, announced this week, could pose significant challenges for online brokerages and advisors.
June 16, 2022
Senate Confirms 2 New SEC CommissionersJaime Lizárraga replaces Allison Herren Lee, while Mark Uyeda fills a slot vacated by Elad Roisman.
June 16, 2022
SEC Seeks Comment on 'Information Providers' Acting as AdvisorsSEC wants to know which index providers, model portfolio providers and pricing services might fit the definition of an investment advisor.
June 16, 2022
In First Reg BI Action, SEC Hits BD Over Sales of Risky Bonds to RetireesConsumer advocate Micah Hauptman says he's glad to see the rule enforced "in a way that should send a strong message."