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.
10 of the Biggest Financial Frauds of the Past 25 Years
By Beth BravermanFTX is only one of the many massive fraud cases to rock the financial world in recent decades.
December 16, 2022
New Bill Requires SEC to Write E-Delivery RuleFinancial services trade groups cheered the bill.
December 16, 2022
How Enforcement Will Play Out in 2023: SEC RoundupLook for "more unique and out-of-the box applications of the insider trading theory," says Tom Zaccaro.
December 16, 2022
11 Big Advisor Regs That Moved Forward in 2022The SEC, FINRA and DOL have proposed or finalized several rules this year.
December 15, 2022
FTX Collapse Could Wake Up Washington on Crypto Regs: SEC's Peirce"I'm hoping these events can be a catalyst for us to get to work," the commissioner tells Ric Edelman.
December 15, 2022
TIAA Trader Charged in $47M Insider SchemeLawrence Billimek worked for TIAA unit Nuveen, where he allegedly sent tips to former day trader Alan Williams; both were arrested Wednesday.
December 15, 2022
Massachusetts Adopts Annuity Sales RegulationsSupporters of the Regulation Best Interest-based approach see 37 actual or pending approvals.
December 14, 2022
SEC Proposes New Best-Execution Rule, Draws CriticismInvestor advocate Tyler Gellasch called the proposal "a huge disappointment."