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.
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others
By Melanie WaddellSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 10, 2025
Paul Atkins Confirmed to Lead SECThe Wall Street consultant steps into the role a week after President Trump’s sweeping tariffs unleashed market turmoil.
April 09, 2025
SEC Weighs Raising AUM Threshold for Advisor RegistrationThe move makes sense but could create headaches for midsize advisors in some states, compliance pros say.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 03, 2025
SEC Nominee Atkins Advanced by Senate Banking CommitteeIf confirmed by the Senate, Atkins is expected to rein in SEC enforcement and shape digital asset regulations.
April 02, 2025
SEC to Restructure Regional OfficesThe change impacts 10 locations and will become effective April 9.
April 02, 2025
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud SchemeJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
April 02, 2025
Commonwealth Wins Reversal of $93M SEC Revenue Sharing PenaltyA court last year found Commonwealth liable for failing to disclose a mutual fund revenue-sharing pact.