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.
Ex-Morgan Stanley Advisor Convicted of Defrauding 3 NBA Players
By Dinah Wisenberg BrinDarryl Cohen cheated the pro athletes out of more than $5 million, according to prosecutors.
March 03, 2026
SEC Pushes Back Against New Wave of High-Leverage ETF PlansAt stake is whether a new generation of ETFs comply with regulatory limits governing fund risk relative to assets.
February 27, 2026
Stifel Faces up to 19 More Claims Tied to Barred BrokerThe BD is also still fighting a cash-sweep lawsuit, according to its annual report.
February 27, 2026
How to Stay Out of TroubleEven if you think you're not hurting anyone, the consequences of bending or breaking the rules can be serious.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 26, 2026
SEC Bars Advisor Who Took $9.8M From Older ClientEjiro Ode Okuma used funds to build a luxury residence, purchase vehicles and buy vacation homes, the agency says.
February 26, 2026
Ritholtz to Launch Its First ETFThe actively managed Goaltender ETF will adjust stock exposure based on market trends.
February 24, 2026
SEC Closes LPL Cash Sweep ProbeThe firm still faces class action lawsuits over low rates paid on cash and says it will defend itself.