SEC

Attorneys general from seven states and Washington, DC claim the Commission bypassed congressional intent in approving Reg Best Interest.

Blue Wolf hires new COO; SEC examinations department comes out with its priorities for 2020

The agency's new report provides 'hallmarks' of effective compliance programs detected by the agency over the years.

'I think it’s going to be a big year for advisor regulations.'

Nearly 50 rules are being considered by the Securities and Exchange Commission.

Budget enabling SEC enforcement of Regulation BI and amended 'accredited investor' definition spell boost for private funds.

The US House's $1.4trn budget gives free rein to SEC chairman Jay Clayton to pursue Reg BI, but it forbids corporate spending disclosure rules.

At its peak, more than five dozen broker-dealers signed on to sell GPB's funds. The B-Ds earned commissions of between 8% and nearly 12%, SEC records show.

The sanctioning of Ocean Cross Capital Markets' Thaddeus North illustrates perils facing small firm compliance officers.

Update on the case against NYPPEX chief Laurence Allen; the SEC doesn’t require encryption of central documents, but some advice if you do; investment advisor gets registration revoked; tech opportunities for CFOs