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.
SIFMA, FSI Join Suit to Strike Down DOL Fiduciary Rule
By Melanie WaddellThe trade groups join insurance industry groups in asking a court in Texas to vacate the rule.
June 26, 2024
Expect SEC Reg BI Actions to Heat Up: Law FirmDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 21, 2024
What the RIA Industry Looks Like Now, in 4 ChartsThe number of RIAs continues to grow as well as their AUM, an IAA and COMPLY report finds.
June 21, 2024
More SEC Rules in Peril With Private Fund Rule StrikedownTwo of the SEC's main rulemaking statutes hang in the balance after the recent Fifth Circuit decision.
June 17, 2024
SEC's Crypto Enforcement Chief Steps DownHirsch made the announcement early Monday morning in a LinkedIn post.
June 14, 2024
SEC Hits RIA With $100K Marketing Rule FineTwenty Acre Capital misled investors by presenting performance returns experienced by a single investor, the SEC says.
June 14, 2024
Court Adopts SEC's Expansive View of 'Dealer': SEC RoundupSEC's rationale threatens to ensnare unsuspecting private funds, family offices and private investment in public equity (PIPE) investors.