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 Seeks Comments on Reining in CAT
By Melanie WaddellThe agency wants feedback on Consolidated Audit Trail funding and cost management and the regulatory purpose of the database.
April 13, 2026
'So Far, So Good': Morningstar on Vanguard Under RamjiThe former BlackRock exec has "been pretty busy compared to past CEOs," analyst Daniel Sotiroff says.
April 10, 2026
Lawmaker Urges SEC to Probe 'Suspicious' Trading Amid Iran WarRegulators should investigate unusual trading activity in oil and equity futures markets, Rep. Ritchie Torres said.
April 09, 2026
Long Island Advisor Pleads Guilty to $160M Investment FraudVincent Camarda of A.G. Morgan Financial Advisors faces up to 20 years in prison.
April 08, 2026
SEC Names New Enforcement DirectorDavid Woodcock, currently a partner at Gibson, Dunn & Crutcher, will start his new SEC post on May 4.
April 08, 2026
SEC Fines Surge on Biden Enforcements Now Shifting Under TrumpSEC fines and investor relief doubled to $17.9 billion in the 2025 fiscal year, the agency said.
April 07, 2026
Wall Street Watchdogs Pull Back Amid Trump's Deregulatory PushCritics of deregulation worry about what may fall through the cracks.
April 07, 2026
Morgan Stanley Plans Private Credit Fund Even as Investors FleeThe North Haven Strategic Credit Fund may include "a wide spectrum of credit strategies," an SEC filing states.