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.

Court Tackles SEC Authority to Regulate Private Funds: SEC Roundup

March 29, 2024

Court Tackles SEC Authority to Regulate Private Funds: SEC Roundup
Guardian Unveils Its First RILA, After Dialogue With SEC

March 28, 2024

Guardian Unveils Its First RILA, After Dialogue With SEC
New SEC Risk Alert Warns of T+1 Transition

March 27, 2024

New SEC Risk Alert Warns of T+1 Transition
SEC Updates Rules for Robo-Advisors

March 27, 2024

SEC Updates Rules for Robo-Advisors
The SEC Marketing Rule Sweep Has Begun

March 25, 2024

The SEC Marketing Rule Sweep Has Begun
Cambridge Says It's Under FINRA Review, Plans $500,000 Restitution

March 18, 2024

Cambridge Says It's Under FINRA Review, Plans $500,000 Restitution
SEC's Texting Crackdown Rages On, With RIAs Likely Next

March 18, 2024

SEC's Texting Crackdown Rages On, With RIAs Likely Next
SEC Fines Two Firms for Bogus AI Claims

March 18, 2024

SEC Fines Two Firms for Bogus AI Claims
Commonwealth Still Fighting $111.5M SEC Suit Over Mutual Fund Fees

March 08, 2024

Commonwealth Still Fighting $111.5M SEC Suit Over Mutual Fund Fees
House Passes Accredited Investor Bill

March 08, 2024

House Passes Accredited Investor Bill