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.
15 of the Biggest Legal Dramas in Financial Services in 2025
By Dinah Wisenberg BrinThe year in lawsuits: Poaching, an estate battle, an advisor-client affair and some eyebrow-raising emails.
December 17, 2025
SEC Issues New Warning on Marketing Rule ComplianceA risk alert points to missteps advisors are making in testimonials and endorsements as well as third-party ratings.
December 11, 2025
House Passes Sweeping Package on Retirement, Investors and FraudOne of more than 20 bills in the INVEST Act calls for FINRA to administer an accredited investor exam.
December 10, 2025
Brokers at the Movies: 10 Hollywood Takes on Wall StreetMovies depicting financial professionals typically don’t focus on thoughtful advisors looking out for clients’ best interests.
December 08, 2025
Fund Manager's Driver Posing as Advisor Lost $1M for Investors: SECThe defendant was a driver for a registered investment advisor that managed a hedge fund.
December 04, 2025
Draft Guidelines Could Shape States' Efforts to Regulate Annuity SellersA regulator group will review the "best interest" guidance at a meeting next week.
December 03, 2025
SEC Halts High-Leveraged ETF Plans in Warning Over RisksIt aims to block new products that deliver three and even five times the daily returns of stocks, commodities and cryptocurrencies.
December 02, 2025
Robo-Advisor Wealthfront, Backers Seeking $485M in IPOThe company plans to market shares for $12 to $14 each, according to its SEC filing.