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.

Why Invest in Private Markets?

April 29, 2024

Why Invest in Private Markets?
New SEC Risk Alert Points to 5 Marketing Rule Trouble Spots

April 18, 2024

New SEC Risk Alert Points to 5 Marketing Rule Trouble Spots
Advisor on FBI's 'Most Wanted' List Arrested on Fraud Charges

April 16, 2024

Advisor on FBI's 'Most Wanted' List Arrested on Fraud Charges
SEC Hits 5 RIAs With Marketing Rule Fines

April 12, 2024

SEC Hits 5 RIAs With Marketing Rule Fines
Ex-Ameriprise Advisor Awaits Sentencing in $1.2M Fraud Case

April 05, 2024

Ex-Ameriprise Advisor Awaits Sentencing in $1.2M Fraud Case
SEC Hits RIA With $6.5M Texting Fine

April 04, 2024

SEC Hits RIA With $6.5M Texting Fine
Commonwealth Must Pay SEC $93M Over Revenue Sharing

April 03, 2024

Commonwealth Must Pay SEC $93M Over Revenue Sharing
Reg BI to Be 2025 SEC Exam Priority

April 03, 2024

Reg BI to Be 2025 SEC Exam Priority
Ex-Advisor Sentenced to 4 Years in Prison for $4.7M Embezzlement

April 02, 2024

Ex-Advisor Sentenced to 4 Years in Prison for $4.7M Embezzlement
The SEC Is 'Scaring People Off': Hester Peirce

April 02, 2024

The SEC Is 'Scaring People Off': Hester Peirce