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 Fines United Planners $600K Over Leveraged ETF Sales to Elderly
By Melanie WaddellThe firm and Cary Urich, a former rep, caused 54 advisory clients to lose 70% of their investments.
October 23, 2026
Barred Advisor Pleads Guilty to $3.3M Fraud Against LPL, Fidelity, TD AmeritradeAndrew Komarow pleaded guilty to wire fraud, which carries a maximum 20-year prison term, DOJ said.
October 22, 2026
6 SEC Rules That Could Pass by Year-EndSome proposals released in 2026 affecting the advisory industry won't get through, but others stand a good chance.
October 22, 2026
Ex-LPL Advisor Charged With Wire FraudWilliam Bernard Tunink, now barred from the industry, defrauded more than 50 investors, Iowa prosecutors say.
October 21, 2026
5 Compliance Questions to Ask Before Choosing an AI PlatformFor RIAs and wealth firms, the burgeoning number of options can make vendor selection feel overwhelming.
October 21, 2026
Pay-to-Play's Paper Repeal: SEC RoundupHardy Callcott, a former SEC assistant general counsel, weighs in on what the repeal actually changes inside an advisory firm.
October 21, 2026
SEC Streamlines French Advisor RegistrationThe pathway allows the agency to process new and pending applications received by the French securities commission.
October 20, 2026
SEC Approves FINRA Plan to Allow BDs to Market Performance ProjectionsThe change is modeled on the SEC Marketing Rule's requirements for hypothetical performance.