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.
4 Must-Knows for Advisors in SEC's New Reg BI Guidance
By Melanie WaddellWhile aimed at BDs, the guidance helps clarify the care obligation for advisors, compliance expert Amy Lynch says.
April 27, 2023
House Panel Passes Accredited Investor BillsOne of the bills would deem clients of investment advisors who receive individualized advice to be accredited investors.
April 27, 2023
House Panel Passes E-Delivery BillThe bill requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
April 26, 2023
Branch Offices Lack Policies for Protecting Client Records: SECThis failure has resulted in firms falling victim to cybersecurity and data breaches, according to an SEC risk alert.
April 25, 2023
Wealthtender Adds Testimonial Marketing EvangelistAdvisors are still not clear on how to comply with the new SEC Marketing Rule, Diana Cabrices says.
April 25, 2023
Adam Handler: The New SEC Reg BI Guidance Is SpectacularThe Q&A may not be simple or gentle, he says. But he's thrilled to see details.
April 20, 2023
SEC Issues New Reg BI GuidanceA Q&A clarifies how to determine if an investment or strategy is in a client's best interest.
April 19, 2023
New Bill Would Cut Thresholds for Accredited InvestorsThe bill runs counter to the SEC's stated goal of increasing the income and net worth thresholds.