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.
February 07, 2024
The New Spot Bitcoin ETFs Aren't Actually ETFsThe misnomer has caused some confusion among both investors and financial professionals.
February 06, 2024
New Bill Would Block SEC Predictive Data Analytics RuleThe Protecting Innovation in Investment Act would prevent SEC from finalizing, implementing or enforcing the controversial rule.
January 30, 2024
New FSI Report Takes On 'Regulation by Enforcement'The SEC's 12b-1 fee crackdown was an example of regulation by enforcement, the group says.
January 26, 2024
Planner Accused of Buying House With $2M in Client FundsThe unregistered planner and an investment advisor received a cease-and-desist order in Indiana.
January 25, 2024
Debate: Does the Approval of Spot Bitcoin ETFs Help the Average Investor?Our experts debate whether the new funds increase or decrease the risks around bitcoin investing.
January 24, 2024
A Thank-You Note to Gary Gensler? You Bet.I'm sure the SEC chairman and I aren't done arguing, but the spot bitcoin ETFs' approval deserves applause.
January 16, 2024
JPMorgan to Pay $18M Over Whistleblower ViolationsInvestor clients were asked to sign agreements and not report potential securities law violations to the SEC.
January 11, 2024
Morgan Stanley Could Pay Up to $300M to Settle Trading ProbeThe yearslong investigation has focused on its employees' handling of stock sales big enough to move markets.
January 10, 2024
SEC Approves Spot Bitcoin ETFs in Crypto's BreakthroughAs a result, funds from BlackRock, Fidelity, Invesco and other firms can start trading Thursday.
January 10, 2024
SEC's X Account Hacked to Falsely Say Bitcoin ETF ApprovedThe SEC's deadline for taking action on at least one spot bitcoin application is Wednesday.