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.

No Changes Coming to Reg BI: SEC Chief

March 08, 2024

No Changes Coming to Reg BI: SEC Chief
New Marketing Rule, AI in SEC Examiners' Crosshairs

March 07, 2024

New Marketing Rule, AI in SEC Examiners' Crosshairs
SEC Scales Back New Pollution-Disclosure Rules

March 06, 2024

SEC Scales Back New Pollution-Disclosure Rules
Ameriprise Braces for $50M SEC Fine Over Electronic Messages

March 01, 2024

Ameriprise Braces for $50M SEC Fine Over Electronic Messages
Senators Introduce E-Delivery Bill

February 29, 2024

Senators Introduce E-Delivery Bill
SEC Investment Management Director Steps Down

February 28, 2024

SEC Investment Management Director Steps Down
Advisor Accused of Taking $1.6M Faces Wire Fraud Charge

February 26, 2024

Advisor Accused of Taking $1.6M Faces Wire Fraud Charge
LPL Facing SEC Fine as High as $50M Over Texts, App Use

February 23, 2024

LPL Facing SEC Fine as High as $50M Over Texts, App Use
New SEC Dealer Rule Will Hit Private Funds: SEC Roundup

February 23, 2024

New SEC Dealer Rule Will Hit Private Funds: SEC Roundup
Advisors Face Enhanced Reporting of Say-on-Pay Votes

February 21, 2024

Advisors Face Enhanced Reporting of Say-on-Pay Votes