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.
SEC Approves FINRA's Outside Business Activity Plan
By Melanie WaddellThe approval hands a "big win" to dually registered advisors, says lawyer Brian Rubin.
September 15, 2026
SEC Urges Advisors to Fine-Tune Compliance ReviewsA risk alert points to ongoing challenges in keeping in step with the Compliance Rule.
September 14, 2026
LPL Courts Lawmakers to Hash Out PrioritiesTom Gannon, the firm's chief advocacy officer, discusses four policy issues that are top of mind for advisors.
September 14, 2026
How to Modernize Digital Workflows and Reduce Off-Channel RiskCombing clear policies with consistent procedures is not compliance as burden; it's compliance as practice infrastructure.
September 11, 2026
Variable Universal Life Sales Climb 24.5% in Q2Buyers favored the potential for growth over stability, Wink issuer survey data reports.
September 04, 2026
White House Review of SEC Rules Draws Mixed ReactionsAdvisors and industry watchers disagree on whether OMB review will improve or slow SEC rulemaking.
September 03, 2026
New Bill Requires SEC to Create Life Insurance, Annuity Registration FormsThe CLEAR Forms Act calls for forms tailored to registered non-variable insurance contracts.
September 02, 2026
Private Fund Advisors Busted in Ponzi-Like Scheme Against Retirees: SECMark Hanf and Hoai-Nam Chu Phan made material misrepresentations regarding the Pacific Fund and Freedom Fund, a complaint says.