SEC regulations

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.

During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.

Such changes can occur without new rulemaking, agree fiduciary advocates and ex-regulators at an Institute for the Fiduciary Standard press conference

The SEC has tweaked certain accounting rules and is considering doing more.

After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.

Those with the resources to sort through compliance thickets may be better positioned to take advantage of some long-awaited changes.

Analysts were permitted to adjust key stresses in the model used in determining commercial mortgage-backed securities ratings, according to the regulator.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.

Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.