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.
Cassidy Named Head of SEC Exam Division
By Melanie WaddellThe agency veteran has been acting director since May 2024.
January 14, 2026
FINRA and SEC May Think More About Fixed Annuities This YearBut NAFA's chair hopes issuers can spend less time on regulatory threats and more on opportunities.
January 13, 2026
Florida Man Faces Trial for Alleged $36M Ponzi SchemeBrent Seaman reportedly used victims' funds for his personal expenses and to pay earlier investors.
January 12, 2026
Supreme Court to Review SEC Power to Recoup Illegal GainsThe case could blunt one of the agency’s most potent enforcement tools.
January 08, 2026
SEC Seeks Huge Boost to AUM Threshold for Small AdvisorsThe plan would raise the threshold to $1 billion from $25 million, easing compliance burdens for more RIAs.
January 05, 2026
Advisor Pleads Guilty to Tax Evasion, Faces Up to 5 Years in PrisonJefferey Arsenault of Old Greenwich Capital Advisors also agreed to pay nearly $7 million in restitution.
January 02, 2026
Ex-Merrill Broker Sentenced to Two Years in PrisonRajesh Markan was also ordered to pay $2.5 million to investors in a fake private equity fund.
January 02, 2026
SEC Commissioner Caroline Crenshaw DepartsThe agency is down to three commissioners — all Republicans.