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.
401(k) Income Solutions Threaten IRA Rollovers
By John Manganaro"In-plan" income solutions could go mainstream sooner than you think, Raymond James' Don MacQuattie tells ThinkAdvisor.
January 24, 2023
NYSE Says Certain Trades to Be Canceled After Glitch at OpenBanks, retailers and industrial firms were among those affected, including Wells Fargo, Morgan Stanley and Walmart.
January 24, 2023
FSI Chief Vows to Keep Fighting DOL Indie Contractor RuleFSI is also bracing for Labor to release a new fiduciary rule this year.
January 24, 2023
SEC Fines Bloomberg Finance $5M Over 'Misleading' Securities Pricing ProductThe firm consented to the SEC's cease-and-decease proceedings without admitting or denying the allegations.
January 23, 2023
March CAT Deadline Raises Investor Privacy Alarm: SEC RoundupKen Bentsen and Ellen Greene of SIFMA discuss how the SEC can protect investor privacy now.
January 18, 2023
FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEOEnsuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.
January 18, 2023
Trust Company Fined Over 12b-1 FeesThe company failed to adequately disclose in marketing materials its receipt of 12b-1 fees, the SEC says.
January 17, 2023
Ex-AARP Lobbyist Named New SEC Investor AdvocateCristina Martin Firvida oversaw federal and state advocacy on Social Security, pensions and more at AARP.