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.
Robo-Advisor's Pro Athlete Ads Broke Marketing Rule, SEC Says
By Melanie WaddellAds featuring a pro soccer player and MMA fighters who were not clients lacked disclosures, the SEC says.
October 31, 2024
LPL Discloses $18M Charge, but No Arnold Updates on Q3 CallThe firm, now led by Rich Steinmeier, expects an SEC settlement related to anti-money laundering controls.
October 30, 2024
SEC Hit These 6 Firms With Reg BI Fines in 2024The SEC cracked down this year after industry complaints that FINRA was taking the lead.
October 30, 2024
Cetera Launches Regulatory Risk-O-MeterThe new resource is designed to help advisors measure and navigate developing regulatory risks.
October 29, 2024
What the Election Could Mean for SEC, DOLChanges will be afoot at the regulatory agencies, especially if Trump wins the White House.
October 28, 2024
CFP Board's Enforcement Powers Create Major Risks: SIFMAThe board's activities duplicate and conflict with those of the SEC and FINRA, the industry group warns.
October 22, 2024
SEC to Boost Scrutiny of AI Tools Used by Advisors, BrokersEarlier this year, the regulator fined two money managers for making allegedly bogus claims about their use of artificial intelligence.
October 22, 2024
SEC Chief Defends Texting Crackdown"Hundreds of people at dozens of firms were blowing right past" off-channel communication rules, Gary Gensler said.