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.
Commonwealth, SEC Reach Tentative Settlement Over $93M Penalty
By Melanie WaddellThe long-running case centers on revenue sharing payments.
January 29, 2026
The Hidden Math Behind SEC Penalties: SEC RoundupFines are more arbitrary than you think, a former SEC and CFTC enforcement attorney and Vanderbilt Law professor say.
January 29, 2026
These ETFs Are in the SEC's Crosshairs in 2026The SEC will focus on complex ETFs, which includes a number of different strategies.
January 28, 2026
Retirement Policy Change in 2026? Yes, It's PossibleThe DOL, not Congress, will likely be where most of the action is, Washington watchers say.
January 23, 2026
Bill Seeks to Modernize Advisor Payment RulesThe Clarity for Compensation Act would "permanently allow commission payments to be made directly to advisors' business entities."
January 23, 2026
FINRA Dings a BD for Lacking Leveraged ETF PoliciesStirlingshire Investments violated Reg BI when it failed to supervise reps' recommendations of the risky products, FINRA found.
January 22, 2026
How to Prepare for the SEC's 2026 Exam PrioritiesExaminers are focused on whether firms can demonstrate that their policies and procedures work in practice.
January 22, 2026
Georgia Advisor Pleads Guilty in $380M Ponzi SchemeTodd Burkhalter "perpetrated what is likely the largest Ponzi scheme in Georgia history," a U.S. attorney said.