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.
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC Roundup
By Nick Morgan | Tom ZaccaroFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.
January 02, 2024
SEC Exam Coming? Use These 5 Tips to PrepareKnow what examiners are looking for and what to expect when they come calling.
December 27, 2023
6 Big Rules the SEC Finalized in 2023The rules come with an "incredibly challenging if not impossible timeline" for implementation, according to a trade group.
December 21, 2023
'Wolf of Wall Street' Jordan Belfort's New Investment Pitch Is ... Indexing?The ex-broker doesn't mince words on the SEC or the "Fee Machine Complex" but praises financial planners.
December 18, 2023
10 Worst Financial Advisors in America: 2023While most advisors make clients' lives better, others stand accused of financial crimes — and worse.
December 18, 2023
Complying With SEC Cyber Rules Remains 'Super Difficult'Rules now require public firms to report cyber issues within four business days of finding them "material" to shareholders.
December 15, 2023
Why the Pool of Accredited Investors Keeps Growing: New SEC ReportOne big driver of the growth is retirement savings, the SEC says.
December 14, 2023
SEC Updates FAQ on Form CRSThe agency answers questions related to private placements, principal underwriters and dually registered BDs.