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 Rule Predictions: What's In, What's Out in 2025
By Melanie WaddellAttorneys expect a slowdown or halt on texting fines and a potential Custody Rule revamp, among other changes.
December 10, 2024
8 Pros and Cons of Mandatory Arbitration for RIAsThe process can be more timely and cost -effective for dispute resolution, but it also has some downsides.
December 09, 2024
Morgan Stanley to Pay $15M Over Advisors Who Stole Millions From Clients: SECThe firm failed to monitor reps' wire and externally initiated ACH transfers, the SEC said.
December 06, 2024
Trump's SEC Pick Criticized Bank Regulators' Efforts to Expand ScopePaul Atkins told them to stop trying to oversee solvency at life and annuity issuers and asset managers.
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.