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.
State Regulators See Rise in Tech-Related Schemes
By Melanie WaddellInvestment frauds connected to social media use have been identified as "significant dangers" in an enforcement report.
October 09, 2025
FINRA Hits Ally Invest Securities With $850K Fine Over EmailsCoding errors and other technical failures in three systems caused the communications to be lost.
October 07, 2025
What Happens to SEC Exams During a ShutdownWhile SEC exams are on hold during a shutdown, advisors' compliance work isn't.
October 06, 2025
Orion Veterans Launch AI-powered Communication PlatformThe founders of Hamachi.ai include technology entrepreneurs Eric Clarke, Brian McLaughlin, Mike Wilson and Mustapha Baassiri.
October 01, 2025
Biggest Quarter Ever for RIA Deals: DeVoePrivate equity-backed consolidators represented the majority of Q3 activity, fueling consolidation, the consulting firm reports.
October 01, 2025
'This Is Not Shutdown Lite': Impasse Could Last Months, Strategist Warns"No one truly knows how long this shutdown will last," offers Jeff Bush of The Washington Update.
September 30, 2025
SEC Orders Operating Cost Cuts to CATThe costs of running the order-tracking system "have ballooned beyond belief," says Paul Atkins, the agency chair.
September 29, 2025
ETF Share Classes Coming Soon: A 'Huge Step Forward,' but Questions RemainDual share class funds could face conflict-of-interest issues, an asset management executive says.