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 Worries About Rating Analyst Overload
By Allison BellIn 2021, about 1% of the ratings that the SEC tracks were insurance and annuity ratings.
February 02, 2023
NYSE Glitch Caught Up in Fight Over SEC Rewrite of Trading RulesSchwab and Robinhood say the incident was a reason for concern and an argument against exchange-run auctions.
February 01, 2023
5 Ways BDs Fail to Meet Reg BI Care Obligation: SECSome firms have been telling reps what to do but giving no guidance on how to do it.
February 01, 2023
Be Ready for SEC's Proposed RIA Outsourcing RuleA proposed rule would impose new due diligence requirements on RIAs seeking certain third-party services.
January 30, 2023
House Passes Financial Exploitation Prevention ActThe bill, introduced by Rep. Ann Wagner, is aimed at protecting older investors.
January 30, 2023
Will 2023 Finally Deliver Fiduciary Clarity? CFPs Not Getting Hopes UpWidespread investor confusion about conflict-of-interest issues is a major challenge for advisors, Maura Mallaney says.
January 30, 2023
SEC Issues New Warning on Reg BI Compliance FailuresBDs are using outdated compliance systems, resulting in violations, the SEC exam division says.
January 27, 2023
5 New House Committee Chiefs for Advisors to WatchThese lawmakers have sway over issues like Social Security and Medicare reform and fiduciary rules.