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.
Massachusetts Advisor, Firm to Pay $150,000 in Annuity Switching Case
By Melanie WaddellJeffrey Cutter and his firm failed to disclose significant upfront commissions and other conflicts of interest, a jury found.
February 17, 2026
New FINRA Plan Allows BDs to Market Performance ProjectionsThe amendments help align communications and marketing materials with the SEC's marketing rule, says attorney Ben Marzouk.
February 17, 2026
Wall Street Wants to Bring Election Bets Into Brokerage AccountsThe proposed ETFs, disclosed in a filing on Feb. 13, cover presidential, Senate and House races across both parties.
February 17, 2026
4 Big Cases to Watch in 2026: SEC RoundupThese "sleeper" cases will set the rules of the road for years to come.
February 13, 2026
SEC Bars Ex-Wells Fargo Advisor in Prison for FraudKenneth A. Welsh, accused of stealing nearly $3 million from clients, was sentenced last July to 3.6 years.
February 12, 2026
Time to Consider Accredited Investor Alternatives: SEC's AtkinsThe SEC chairman told senators that wealth should not be the only qualifier for accredited investor status.
February 11, 2026
SEC Working on Off-Channel Communications, E-Delivery Rules: AtkinsThe SEC chairman testified Wednesday before the House Financial Services Committee.
February 10, 2026
House Passes Bill That Could Help Annuity Issuers Fend Off FedA key financial stability council would have to listen to an insurer before changing its regulator.