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.
Don't Wait! Get Ahead of SEC Scrutiny With Mock Examinations
By Steven F. GoldmanBeing proactive can keep you out of the agency's glare and help reduce Errors and Omissions claims.
May 20, 2022
SEC Fines Wells Fargo Advisors $7M Over Anti-Money Laundering FailuresWells Fargo failed to file at least 34 suspicious activity reports in a timely manner.
May 19, 2022
Allianz Fund Managers' Paydays Could Be Followed by PrisonProsecutors say Tournant told investors safety was his top priority but secretly took undisclosed risks, resulting in fraud that cost them $7 billion.
May 17, 2022
SEC Budget Boost Would Support 5% More Advisor Examiners: GenslerThe SEC exam division also needs to step up Reg BI exams for BDs, Gensler will tell the House Appropriations Committee.
May 17, 2022
Few RIAs Using Testimonials, Reviews: StudyMost advisors are not ready to comply with the SEC's new marketing rule, fintech firm Indyfin finds.
May 17, 2022
More Reg BI Rollover Guidance Likely on Its Way: SEC ChiefThe agency may elaborate on guidance it gave in March, Gary Gensler said at a NASAA conference.
May 17, 2022
Allianz Unit to Plead Guilty, Pay $5.8B Over Funds' CollapseThe total payout for the Structured Alpha Funds scandal includes a $1 billion fine to the SEC.
May 16, 2022
SEC Plans Cyber Rule for BDsThe proposal will be similar to one issued in February for RIAs, Chairman Gary Gensler says.