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.
Ex-Rep Booted Over Claims of Racism Sues LPL for $95M
By Jeff BermanThe broker-dealer ended its affiliation with Eileen Cure after claims surfaced online that she had refused to hire Black job-seekers.
August 03, 2022
New SEC Guidance Tackles How to Handle Conflicts of InterestIn addressing conflicts under Reg BI and the Advisers Act fiduciary standard, disclosure isn't enough, the SEC warns.
July 28, 2022
SEC's Gensler Steps Up Push to Get Crypto Exchanges to RegisterHe has asked agency staff to work with digital-asset exchanges so that they are "regulated much like securities exchanges."
July 28, 2022
House Financial Services Committee OKs Annuity BillH.R. 4865 could create a simpler registration process for registered index-linked annuities.
July 27, 2022
SEC Hits JPMorgan, UBS, TradeStation for Identity Theft ViolationsThe three firms had deficiencies in programs to prevent customer identity theft, violating the SEC's Identity Theft Red Flags Rule, or Regulation S-ID.
July 27, 2022
'Educators Are Angry': Equitable's $50M Penalty Points to Wider 403(b) ProblemsEquitable was fined for sending misleading fee statements to 1.4 million investors, mainly teachers.
July 27, 2022
When Will We Finally Get a Spot Bitcoin ETF?SEC Commissioner Caroline Crenshaw told me where she still has major questions and concerns about the crypto market.
July 26, 2022
UBS Says It's Part of Probe Into Unapproved Staff MessagingRegulators are set to levy $1 billion in fines on the biggest banks for failing to monitor employees' use of unauthorized messaging apps.