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.
Robinhood Can Skip Sending Form CRS to Trump Account Holders: SEC
By Melanie WaddellThe SEC issued no-action relief Tuesday; Robinhood will be the sole BD and initial trustee to Trump accounts.
May 01, 2026
SEC Semiannual Reporting Proposal Clears White House ReviewThe SEC plan to let public companies cut quarterly disclosures to twice a year moved closer to reality.
April 29, 2026
Judge Enters Final Order in 'Dr. Cash' Ponzi SchemeAn unregistered advisor serving three years in prison must pay $1.7 million related to a fictitious investment fund.
April 23, 2026
Supreme Court Voices Little Interest in More Curbs on SECThe justices weighed restricting the financial watchdog's power to collect ill-gotten gains.
April 21, 2026
SEC Chief Touts Renewed Focus on Individuals, Fraud"Holding individual wrongdoers accountable" promotes "stronger deterrence and better safeguards for investors," Paul Atkins says.
April 20, 2026
SEC, CFTC Propose Narrowing Hedge Fund Reporting RequirementsThe regulators plan to raise the threshold for all filers from $150 million in private fund AUM to $1 billion.
April 20, 2026
SEC Asks Court to Toss Accredited Investor Rule SuitA complaint, brought in September, challenges the income and net worth thresholds in the agency's accredited investor definition.
April 17, 2026
Barred Oregon Broker Accused of Stealing Over $1.6M From ClientsJeffrey Thomas Higgins is charged with selling clients' stock and taking the proceeds over roughly 17 years.