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.

SEC Bars Phony Advisor Accused of 'Ponzi-Like' Scheme

February 21, 2024

SEC Bars Phony Advisor Accused of 'Ponzi-Like' Scheme
TIAA to Pay $2.2M for Reg BI Violations in IRA Program

February 16, 2024

TIAA to Pay $2.2M for Reg BI Violations in IRA Program
Van Eck to Pay SEC $1.75M Over BUZZ ETF Launch

February 16, 2024

Van Eck to Pay SEC $1.75M Over BUZZ ETF Launch
10 Top Priorities for SEC and FINRA in 2024

February 16, 2024

10 Top Priorities for SEC and FINRA in 2024
Gensler Vows to Advance SEC's Rule Agenda as Election Looms

February 15, 2024

Gensler Vows to Advance SEC's Rule Agenda as Election Looms
Treasury Releases AML Rule for Advisors

February 13, 2024

Treasury Releases AML Rule for Advisors
Bharara Once Jailed Wall Street Pros. Now He Helps Them Avoid Prison

February 12, 2024

Bharara Once Jailed Wall Street Pros. Now He Helps Them Avoid Prison
These Controversial SEC Rules Are Likely to Get Passed This Year

February 09, 2024

These Controversial SEC Rules Are Likely to Get Passed This Year
FINRA Fines Current, Former LPL Advisors Over False Signatures

February 09, 2024

FINRA Fines Current, Former LPL Advisors Over False Signatures
SEC Hits 16 Firms With $81M in Texting Fines

February 09, 2024

SEC Hits 16 Firms With $81M in Texting Fines