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 Proposes New Cyber Rules for RIAs, BDs
By Melanie WaddellFirms would be required to notify customers of breaches that might put their personal financial data at risk.
March 08, 2023
SEC Exams Can't Keep Up With RIA GrowthAs with Dodd-Frank, Congress will have to take action to help increase RIA exam frequency, says Michael Canning.
March 08, 2023
Schwab, NYSE and Citadel Unite Against SEC Market-Rules RevampThe new regulations, if finalized, could damp liquidity in the stock market, the firms said.
March 07, 2023
More States Adopt Reg BI-Compatible Annuity Sales StandardsGeorgia, Illinois and Tennessee have joined 30 other states in adopting NAIC's annuity sales standard update.
March 06, 2023
Twin Advisors Defrauded 60 Clients, SEC SaysThe advisors charged higher fees than clients had agreed to, according to the SEC.
March 06, 2023
Industry Groups Press SEC to Extend Custody Rule Comment PeriodRIAs and custodians need more time to understand the controversial proposal, SIFMA, IAA and other groups say.
March 06, 2023
Former SIFMA General Counsel Hammerman Joins Bates GroupHammerman, who served 19 years as SIFMA's general counsel, will be based in Park City, Utah.
March 03, 2023
New SEC Custody Rule Would Scare Away Qualified Custodians: LawyerThe rule, if adopted, would entail repapering all custodian relationships for most SEC-registered RIAs, Valerie Mirko says.