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.

House Spending Bill Kills SEC Custody Rule, Curbs CAT Data Collection

November 06, 2023

House Spending Bill Kills SEC Custody Rule, Curbs CAT Data Collection
SEC Highlights Exam Priorities for 2024

November 02, 2023

SEC Highlights Exam Priorities for 2024
Raymond James' Profits Take $55M Hit From Fines

October 26, 2023

Raymond James' Profits Take $55M Hit From Fines
'All Cases Are Important,' SEC's Gensler Says

October 25, 2023

'All Cases Are Important,' SEC's Gensler Says
How CapWealth Fought 12b-1 Fee Charge: SEC Roundup

October 19, 2023

How CapWealth Fought 12b-1 Fee Charge: SEC Roundup
Citadel Securities, ASA Sue SEC Over CAT

October 18, 2023

Citadel Securities, ASA Sue SEC Over CAT
Ethereum ETFs Are Here. Is Spot Bitcoin Next?

October 17, 2023

Ethereum ETFs Are Here. Is Spot Bitcoin Next?
SEC Commissioner Concerned About Insurers' Broadly Syndicated Loans

October 17, 2023

SEC Commissioner Concerned About Insurers' Broadly Syndicated Loans
7 Top SEC Exam Priorities for 2024

October 16, 2023

7 Top SEC Exam Priorities for 2024
SEC Won't Appeal Court Decision Paving Way for Grayscale Spot Bitcoin ETF

October 16, 2023

SEC Won't Appeal Court Decision Paving Way for Grayscale Spot Bitcoin ETF