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 Claims Deceased Advisor Stole $1.68M From Elderly, Sues Estate
By Melanie WaddellThe agency is suing the estate of John Brodacki, who died in March, to claw back funds it says he took from clients.
March 30, 2026
SEC Semiannual Reporting Plan Advances to White House for ReviewSEC Chairman Paul Atkins has recently floated scaling the frequency of corporate disclosures to a firm's size.
March 27, 2026
Morgan Stanley Gets FINRA Waiver From Disqualification After $15M SEC SettlementThe regulator approved the firm's request to remain an industry member; LPL received a waiver in January.
March 24, 2026
Robo-Advisor Ally Invest to Pay $500K Over ConflictsThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 23, 2026
Commonwealth Agrees to Pay $5M to SEC After $93M Judgment TossedThe settlement would resolve a long-running battle over disclosure of a mutual fund revenue-sharing program.
March 23, 2026
Expect an E-Delivery Rule Soon: SEC ChairSuch a rule is "long overdue," Paul Atkins said Monday.
March 20, 2026
Advisors in SEC Enforcement CrosshairsFiduciary duty breaches are a "core" focus for the agency, according to the acting director of enforcement.
March 19, 2026
'Robust Pipeline' of Rules Ahead: SEC ChiefThe primary goal is "trimming immaterial requirements that burden the market" but don't benefit investors, Atkins said Thursday.