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.
8 Pros and Cons of Mandatory Arbitration for RIAs
By John ManganaroThe process can be more timely and cost -effective for dispute resolution, but it also has some downsides.
December 05, 2024
TD Suspends Growth Guidance in Wake of Historic SettlementAsked if the bank would consider U.S. divestitures, its CEO said “everything is on the table.”
December 04, 2024
Trump Picks Paul Atkins to Head SECAtkins, CEO of Patomak Global Partners in Washington, is a former SEC commissioner.
December 03, 2024
Western Asset Management Names New CEO After SEC ProbeThe news comes after former co-CIO Ken Leech was charged with fraud.
November 27, 2024
Atkins, Ex-SEC Commissioner, Could Succeed GenslerTrump is expected to make a pick in the coming days, but no decision has yet been made.
November 27, 2024
Court Strikes Down SEC Dealer Rule: SEC RoundupThe rule expanded the definition of "dealer" so that many private fund advisors would have had to register.
November 26, 2024
Robinhood’s Gallagher Drops Out of SEC Chair ConsiderationThe ex-SEC commissioner, now Robinhood's chief legal officer, said he's "committed" to the firm's millions of customers.
November 26, 2024
Leech Shunted $600M to Favored Portfolios: SEC, DOJThe former co-chief investment officer for Western Asset Management, 70, could face 20 years in prison.