Browsing Tag
U.S. Securities and Exchange Commission (SEC)
136 posts
The U.S. Securities and Exchange Commission (SEC) is a federal agency that regulates the securities markets to protect investors, ensure fair and efficient markets, and facilitate capital formation. It oversees securities exchanges, brokers, investment advisers, and public companies, requiring them to disclose important financial information. The SEC enforces securities laws, investigates misconduct such as fraud and insider trading, and works to maintain investor confidence in the U.S. financial system.
Biden SEC Chair Nominee Gensler One Step from Confirmation
The Senate Banking, Housing, and Urban Affairs Committee voted 14-10 today to advance President Joe Biden’s nomination of…
ESG Matters Listed Among SEC’s 2021 Exam Priorities
SEC 2021 Examination Priorities highlight Reg BI, Form CRS, COVID-19 impacts, and ESG focus for firms and financial advisors.
Biden Taps ‘Tenacious Regulator’ Gensler to Lead SEC
Gary Gensler SEC nomination signals tougher Wall Street oversight and stronger investor protection under the Biden administration.
Biden Rumored to Pick Gary Gensler as SEC Chairman
President-elect Joe Biden is expected to choose Gary Gensler, a former financial regulator, and Goldman Sachs executive, to…
Trump Names Elad Roisman as New SEC Chair
The Securities and Exchange Commission today announced that President Donald Trump designated Elad L. Roisman as Acting Chairman…
Voya Settles with SEC for ‘Violating Its Fiduciary Duty’
The Securities and Exchange Commission announced on Monday that Voya Financial Advisors, Inc. (Voya) has agreed to settle…
SEC Adopts Electronic Signature for Document Submission
Last week, the Securities and Exchange Commission finally voted to adopt rules to permit the use of electronic…
SEC Chairman Clayton to Step Down at Year’s End
Jay Clayton tenure concludes as Biden prepares to name a new SEC leader, sparking speculation about tougher Wall Street oversight.
The RIA Industry Experiences Steady Growth
The investment advisor industry continued to experience record-level growth through 2019, including in the number of registered advisors…
SEC Makes it Harder for Investors to Influence Corporate Agendas
The Securities and Exchange Commission (SEC) voted on Wednesday to adopt amendments that critics say make it harder…