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.
Is the SEC's War on Crypto 'Regulation by Enforcement'?
By Ric EdelmanI asked the SEC's crypto enforcement chief to answer that question, and more.
June 22, 2023
SEC Committee Floats User Fees, Third-Party Exams for RIAsSEC Commissioner Hester Peirce was quick to pose questions on how such plans would work.
June 20, 2023
Crypto Exchange Backed by Schwab, Fidelity Goes LiveEDX Markets, which does not custody digital assets, offers institutional trading in Bitcoin, Ethereum, Litecoin and Bitcoin Cash.
June 16, 2023
FINRA Exams Are Changing, Execs SayFINRA is conducting more on-site exams, but examiners will spend less time on-site.
June 16, 2023
PIMCO Hit With $9M SEC FineIn one of two enforcement actions, PIMCO failed to waive $27 million of advisory fees as it had agreed.
June 14, 2023
5 Big Rules the SEC Plans to Finalize This YearThese rules are on the list despite industry pushback, says Amy Lynch of FrontLine Compliance.
June 14, 2023
Battle With Law Firm Over China Hack Comes to a Head: SEC RoundupThe SEC wants information on Covington & Burling's advisor and BD clients hit in a 2020 cyberattack.
June 14, 2023
House GOP Seeks to Remove SEC Chair Gensler, Restructure CommissionThe proposed SEC Stabilization Act would add a sixth commissioner and ensure political party parity.