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.
New SEC Marketing Rule FAQ Could be 'Problematic,' Compliance Pro Says
By Melanie WaddellExperts say the directive on displaying gross and net performance doesn't align with how firms actually calculate performance.
January 09, 2023
Ex-Broker to Fork Up $3M Over Fintech FraudThe SEC says Paul Hess and other defendants tricked investors into buying unregistered interests in shell companies.
January 09, 2023
NASAA Plans 2023 Push for Bad Actors DatabaseState securities regulators want Congress to pass a bill requiring the creation of a fraudster database.
January 06, 2023
5 Keys to a Texting Policy That Will Stand Up to SEC ScrutinyThe SEC is aggressively looking into texting by financial professionals. Does your firm have appropriate policies and procedures?
January 06, 2023
7 Big Rules on the SEC's 2023 To-Do ListAdvisor custody regs are a priority this year, along with a few controversial rules.
January 05, 2023
Ex-BlackRock Portfolio Manager Asked Film Company for Favors: SECHe didn't disclose that a film distributor in which his fund invested helped his daughter land an acting role.
December 28, 2022
All the New Secure 2.0 and RILA Deadlines You Need to KnowThe IRS, SEC and DOL now have dozens of new RMD, IRA, annuity and defined contribution plan projects to start.
December 27, 2022
Ex-Broker Gets 20 Years in Prison Over Ponzi, COVID-19 Fraud SchemesChristopher Parris took $7.4 million in advance payments for N95 masks he knew he couldn't deliver.