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.
Wells Fargo Discloses Probes as Scrutiny of Messaging App Use Widens
By Hannah LevittThe SEC and CFTC are investigating its retention of employee communications over unapproved messaging apps,
February 17, 2023
Ex-Boston Celtics Star Paul Pierce to Pay $1.4M to SEC Over Crypto ToutingThe NBA Hall of Famer didn't disclose that he was paid to promote EMAX tokens on Twitter, the SEC said.
February 15, 2023
SEC Votes to Expand Advisor Custody RuleThe rule's broader scope will include any client assets of which an advisor has custody, including cryptocurrencies.
February 10, 2023
Advisor Texting, DOL Fiduciary Rule Are Hot-Button Issues This YearLabor will likely release a fiduciary rule before summer ends, attorney Sara Crovitz tells ThinkAdvisor.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 09, 2023
Vanguard's One-of-a-Kind Fund Design Is About to Get Some CompetitionAnother asset manager makes a move as Vanguard's patent on an important ETF innovation is set to expire.
February 09, 2023
SEC to Consider RIA Custody Rule Changes Next WeekThe agency will also mull changes to the investment advisor recordkeeping rule and to Form ADV.