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.
Adam Handler: The New SEC Reg BI Guidance Is Spectacular
By Allison BellThe Q&A may not be simple or gentle, he says. But he's thrilled to see details.
April 19, 2023
Barclays to Shut 21 ETNs a Year After 'Staggering' Note BlunderThe SEC says Barclays sold about $17.7 billion of securities in unregistered transactions; it agreed to pay $361 million to resolve the charges.
April 18, 2023
Betterment to Pay $9M SEC Fine for Tax Loss Harvesting MisstatementsTechnical issues cost 25,000 clients a total of $4 million in tax savings, the regulator said.
April 18, 2023
SEC Is Mulling Reg BI Rewrite: LawmakerA Republican congressman warned that attempting to rewrite the rule through guidance or FAQs could violate the law.
April 14, 2023
FINRA's Expungement Rules Just Got TougherThe new rule imposes stricter standards on "straight-in" expungements and sets up a special roster of arbitrators.
April 13, 2023
Does Reg BI Mean the Death of Broker-Dealers?For advisors, the issue going forward is if they stay away from transaction-based products in favor of a strictly fee-based approach.
April 10, 2023
Firm Founder Sentenced to 15 Years in Prison For FraudThe ex-Infinity Q Capital Management CIO was sentenced for his role in a mismarking scheme.
April 06, 2023
Reg D Changes Are a Bad Idea: SEC RoundupMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.