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Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.
March 9 -
"If rules are too broad or vague, we may end up circumscribing conduct that we never intended to capture,” Commissioner Allison Herren Lee said.
March 6 -
In an hour-long session, justices considered the agency's use of “disgorgement” to collect money from someone the commission sues in federal court.
March 4 -
While the sustainable industry accounts for less than 1% of the $20.7 trillion held in U.S. mutual funds and ETFs, the space is growing fast.
March 3 -
A Supreme Court ruling could eviscerate one of the agency’s most potent weapons.
March 2 -
The bank failed to implement its own supervisory procedures around single-inverse ETFs, costing clients millions, the SEC says.
February 27 -
The agency has long urged issuers to address risks and concerns associated with a potential crypto fund, including manipulation, liquidity and custody issues.
February 27 -
For many, the document is a significant source of confusion. Fortunately, one of the most persistent errors is easily correctable.
February 24 -
The settlement marks the bank’s largest yet from a series of scandals that claimed two chief executive officers.
February 21 -
The commission “failed to enact a meaningful conduct rule,” state regulator William Galvin says.
February 21