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.
October 12, 2023
FINRA's Cook: 'Mission Accomplished' With CAT DatabaseCook also signaled that paring back the amount of information collected via CAT may be warranted.
October 10, 2023
Advisors Take Note: These 8 States Have New Telemarketing LawsAdvisors risk violating not only state laws but the SEC's Marketing Rule when telemarketing their services.
October 09, 2023
Fiduciary Fight Set to Move to More States After Massachusetts RulingA Massachusetts decision opens doors for stricter rules elsewhere, even as Labor's rule could be out this month.
October 06, 2023
Unicorns May Be Dragged Into Public Markets: SEC RoundupThe SEC is considering a rule changing how shareholders are counted, with big implications for private companies.
October 03, 2023
Expelled New York BD to Pay $235K for Reg BI ViolationsSW Financial recommended a risky strategy that lost money while reps collected $660,000 in commissions, the SEC said.
October 02, 2023
New IRS Guidance Provides Money Market Fund Wash Sale ReliefThe guidance lets investors avoid "significant unwarranted tax reporting complexities" from a new SEC rule, a lawyer says.
September 29, 2023
SEC Proposes Tightening RILA RegistrationThe complex index-linked products would use an updated form aligned more closely with their characteristics.
September 29, 2023
Osaic Wealth, Affiliate BDs Broke Custody Rule: SECThe firms failed to obtain independent verification of client funds and securities of which the firms had custody.
September 29, 2023
SEC Drops New Wave of WhatsApp Fines on BDs, Advisory FirmsBaird and Interactive Brokers are among the firms that agreed to pay penalties.
September 28, 2023
SEC Finalizing 19 New Settlements in Wall Street WhatsApp Probe: ReutersThe settlements are with investment advisors and broker dealers, according to the report, with details expected by Sept. 30.