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.
SEC Fines Another Advisory Firm for Form CRS Failures
By Melanie WaddellAdirondack Financial Services Corp. is in trouble with the SEC after missing its regulatory deadlines.
May 27, 2022
SEC Investor Advocate Rick Fleming to DepartFleming, the first investor advocate for the agency, is leaving July 1.
May 26, 2022
Ex-SEC Chairman Says Private Fund Plan Goes Too Far: SEC Roundup"This proposal will be reviewed by the courts, there's no doubt," Harvey Pitt says.
May 25, 2022
SEC to Crack Down on Funds' Misleading ESG Claims With New RuleConcerns are mounting over a lack of consistent standards for investments claiming to be sustainable.
May 25, 2022
Barred Broker Whose Probation Was Revoked Pleads Guilty to FraudThe former Raymond James broker faces up to 50 years in prison for defrauding his clients.
May 25, 2022
SEC Sends Email Warning on Marketing Rule ComplianceThe regulator is serving notice "that it will aggressively pursue actions against firms," says Lynch of FrontLine Compliance.
May 25, 2022
SEC Hits Ameriprise Unit for Improper Variable Annuity SwitchingRiverSource wholesalers used color-coded lists to highlight annuity exchange opportunities among Ameriprise clients, the SEC says.
May 24, 2022
SEC Names Director of Exam DivisionRichard Best has been the division's acting director since March 23.