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 Marketing Rule Brings New Freedom, New Requirements: Brian McLaughlin
By Jane Wollman RusoffThe Orion exec discusses what advisors can do now and how to survive the upcoming SEC exam sweep.
October 24, 2022
Is Reg FD Unconstitutional? — SEC RoundupFlorida International University College of Law Dean Antony Page talks about an interesting case that's going to trial.
October 21, 2022
5 Top Lessons From the WhatsApp Crackdown: Law FirmThe SEC and FINRA are still watching, so firms should revisit their policies now, says attorney Issa Hanna.
October 19, 2022
Cetera to Pay $9M Over 12b-1 Fee ViolationsCetera Advisors used shares with 12b-1 fees when it knew clients were eligible for lower-cost shares.
October 18, 2022
SEC Gets 9 Final Judgments in Scheme Bilking Pro Athletes, AdvisorsThree of the defendants have been sentenced to prison.
October 14, 2022
Wells Fargo Earnings Marred by $2B Reg Charge"We remain at risk of setbacks as we work to complete the work and put these issues behind us," CEO Charlie Scharf said.
October 13, 2022
SEC Issues FAQ on Fiduciary DEI DutiesAdvisors can consider factors relating to diversity, equity and inclusion when recommending other advisors, the SEC says.
October 12, 2022
SEC Votes to Modernize How BDs Can Preserve Electronic RecordsBDs will no longer be required to preserve records exclusively in "write once, read many" format.