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.
Why the SEC Should Default to E-Delivery
By Lisa HuntInvestors prefer electronic delivery of documents, and it's secure and easier to maintain than paper.
October 12, 2022
BNY Mellon Debuts Crypto Custody Platform for Bitcoin and EtherThe move comes after the SEC said public companies holding crypto assets must treat them as liabilities on their balance sheets.
October 10, 2022
Ex-Edward Jones Broker Who Scammed Clients Permanently Blocked From Securities BusinessRonald T. Molo was previously indicted for defrauding three investors out of about $800,000.
October 07, 2022
Technical Glitch Causes SEC to Reopen Comment PeriodsEleven rule proposals and one request for comment have been reopened.
October 07, 2022
Ex-Broker Found Guilty of Fraud Related to Murder of ClientKeith Todd Ashley was charged with murder while under investigation in a suspected fraud scheme.
October 04, 2022
Will NASAA's REIT Plan Sync With Reg BI? — SEC RoundupAnya Coverman of the Institute for Portfolio Alternatives discusses the two competing models of regulating nontraded REITs.
October 03, 2022
7 Advertising Don'ts Under New SEC Marketing RuleThe SEC's new Marketing Rule has some prohibitions that affect all RIA ads, testimonials and endorsements.
October 03, 2022
Kim Kardashian to Pay $1.3M to SEC for Crypto ToutingHer 2021 Instagram post "may have been the financial promotion with the single biggest audience reach in history," said one regulator.