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.
December 11, 2023
FINRA Releases Reg BI NoticeThe notice points broker-dealers to various SEC resources to help them comply with the best-interest rules.
December 07, 2023
SEC Investor Advocate: RILAs Are Hard for Consumers to Understand"We rarely have examined a more complex retail investment product," Cristina Begoña Martin said.
December 01, 2023
SEC's Use of In-House Judges Cast in Doubt by Supreme CourtThe justices suggested that fraud defendants have a constitutional right to a jury trial.
November 30, 2023
Marketing Rule Among 2024 Enforcement Priorities: SEC RoundupFormer SEC lawyers from five different cities present advice for those looking to stay clear of the regulator.
November 29, 2023
Ex-Hedge Fund Boss Fights SEC at Supreme Court, Backed by Musk and CubanThe court is using George Jarkesy's case to consider stripping the SEC of a key enforcement weapon.
November 22, 2023
SEC Committee to Examine Accredited Investor DefinitionThe committee will review the existing definition and consider whether changes could boost capital-raising opportunities.
November 20, 2023
SEC Fines Two Brokers for Reg BI ViolationsThe brokers used "frequent in-and-out trades," the regulator said.
November 16, 2023
Ramaswamy Calls for Gutting SEC, Deregulating CryptoThe Strive Asset Management chairman and 2024 Republican presidential candidate wants a 75% reduction of the federal workforce.
November 14, 2023
SEC Reports Its Second-Biggest Fine Total Ever for 2023The agency said it filed 3% more enforcement actions than in fiscal year 2022.
November 14, 2023
FINRA Moves to Allow Performance Projections in Some BD MarketingThe proposal aligns with the SEC's marketing rule for RIAs.