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, CFTC Move to Define Which Digital Assets are Securities
By Lydia BeyoudA long-awaited "token taxonomy" carves out payment stablecoins, digital collectives and digital commodities as non-securities.
March 16, 2026
SEC Enforcement Director Resigns After 6 Months on the JobMargaret Ryan has resigned; Principal Deputy Director Sam Waldon has been named acting director.
March 11, 2026
Judge Orders SEC to Hand Over Texting Fine DataLawyer Nick Morgan called the ruling a "win for transparency and a stinging rebuke of the SEC's litigation conduct."
March 10, 2026
Wall Street Regulators Seek More Enforcement, Exam CoordinationThe SEC and the CFTC plan to coordinate examinations and enforcement for businesses that fall on both agencies' turf.
March 09, 2026
AI Is Reshaping Advisor Exams: SEC RoundupRegLabs AI founder Stan Yakov explores how AI is changing exams and enforcement — and what advisors need to know.
March 06, 2026
Wall Street Regulators Discuss Moving Into Same Building ComplexThe talks involve moving the CFTC into the same area where the SEC is now based near Union Station.
March 05, 2026
FINRA to Publish Its Enforcement Manual — a FirstThe announcement by enforcement head Bill St. Louis was discussed during a House hearing Thursday.
March 05, 2026
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD AmeritradeA federal grand jury returned an 11-count indictment against Andrew Komarow.