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 Plan Fails to Protect Retail Investors: SEC Roundup
By Nick Morgan and Tom ZaccaroThe plan likely exceeds the SEC's authority, says Larry Cunningham, George Washington Law School professor of corporate governance.
June 09, 2022
Senate Panel OKs 2 New SEC Commissioner NomineesThe nominations of Jaime Lizárraga, a Pelosi advisor, and Mark Uyeda, a securities counsel, now move to the full Senate.
June 08, 2022
SEC Chief Takes Aim at Payment for Order Flow in Sweeping Plans for Stock MarketsThe plan would be the agency's most direct response to 2021's trading in GameStop and other meme stocks.
June 08, 2022
SEC Weighs Sending Retail Stock Orders to Auctions for ExecutionThe SEC is attempting to rein in payment for order flow.
June 08, 2022
Minnesota and South Carolina Update Annuity Sales StandardsHalf of all states have now adopted new standards based on an insurer-backed NAIC model.
June 07, 2022
How to Invest in Crypto NowFrom cryptocurrency exchanges to private funds to crypto-linked ETFs, your clients have plenty of investing options.
June 07, 2022
Fake Financial Advisor Gets 4.5 Years in Prison for FraudThe defendant used some of the $3 million scammed from clients for gambling and to make Ponzi payments.
June 07, 2022
Sole-Proprietor RIA Becomes Latest Target of SEC's 12b-1 Fee ActionsThe SEC ordered KMA to pay more than $300,000.