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.

Wells Fargo and LPL to Pay $1.8M to Settle SEC Charges

December 20, 2024

Wells Fargo and LPL to Pay $1.8M to Settle SEC Charges
FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute

December 18, 2024

FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute
10 Worst Financial Advisor Cases of 2025

December 18, 2024

10 Worst Financial Advisor Cases of 2025
Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC Abuses

December 13, 2024

Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC Abuses
Senators Delay Crenshaw Vote, Increasing Odds of All-GOP SEC

December 13, 2024

Senators Delay Crenshaw Vote, Increasing Odds of All-GOP SEC
SEC Rule Predictions: What's In, What's Out in 2025

December 11, 2024

SEC Rule Predictions: What's In, What's Out in 2025
Expect Dramatic Enforcement Changes in 2025: SEC Roundup

December 11, 2024

Expect Dramatic Enforcement Changes in 2025: SEC Roundup
Ex- Broker Settles SEC Fraud, Reg BI Charges for $2M

December 10, 2024

Ex- Broker Settles SEC Fraud, Reg BI Charges for $2M
8 Pros and Cons of Mandatory Arbitration for RIAs

December 10, 2024

8 Pros and Cons of Mandatory Arbitration for RIAs
Morgan Stanley to Pay $15M Over Advisors Who Stole Millions From Clients: SEC

December 09, 2024

Morgan Stanley to Pay $15M Over Advisors Who Stole Millions From Clients: SEC