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 to Release New FAQs on Marketing Rule
By Melanie WaddellThe agency is looking at critical questions related to performance, says the SEC's investment management head.
March 04, 2025
Short Seller Challenges SEC on Free Speech: SEC RoundupAndrew Left and his attorney are seeking regulatory clarity on an issue with First Amendment implications.
March 03, 2025
SEC Dangles $50K Incentive for Employees to Resign or RetireThe voluntary separation incentive, or voluntary early retirement program, has a March 21 deadline.
February 28, 2025
State Street, Apollo’s Private Credit ETF Raises SEC ConcernThe SEC asked the firms for more information in a letter Thursday, expressing worry on the fund’s liquidity.
February 28, 2025
SEC Staff Says Memecoins Are Like Collectibles, Not SecuritiesSellers do not need to register with the SEC, and buyers are not protected by securities laws.
February 25, 2025
SEC to Remove Regional Directors: ReportThe SEC told directors across its 10 regional offices that their roles will be eliminated, Reuters says.
February 24, 2025
Advisor Tried to Threaten Witnesses, Bribe Officials in His Fraud Case: DOJAdam Kaplan told an associate to leave one victim "peeing blood / missing teeth," prosecutors say.
February 24, 2025
Robinhood Says SEC Closed Crypto Probe Without Any EnforcementThe firm said last year it had received a Wells notice, indicating an action was coming.