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.
Remote FINRA Inspections Raise Misconduct Risk: PIABA
By Melanie WaddellFully remote supervision and inspections of home offices would undermine investor protection, the attorney group says.
June 26, 2025
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: ProsecutorsStanley Pophal is accused of luring at least 120 investors to buy promissory notes in a $15 million scheme.
June 25, 2025
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed AuntScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.
June 25, 2025
FINRA Seeks to Align BD, Advisor Portfolio Performance ProjectionsFINRA's board approved changes to its Communications With the Public rule to better align with the SEC's Marketing Rule.
June 24, 2025
Staff Gone Rogue: Federal Action Without Commission Approval — SEC RoundupAdministrative proceedings are continuing with the same flaws, with the Enforcement Division apparently emboldened to act without SEC authorization.
June 17, 2025
BDs Demand a Revamp of These FINRA RulesFINRA is conducting a broad review, and firms aren't mincing words on the changes they'd like to see.
June 13, 2025
SEC Names New Investment Management DirectorBrian Daly, a partner at Akin Gump Strauss Hauer & Feld, will replace Natasha Greiner, who departs July 4.
June 13, 2025
SEC Shreds Plans for 14 Major RulesThe list includes controversial proposals aimed at RIAs.