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 and CFTC Start Bid to Align Agencies’ Rules for Wall Street
By Lydia BeyoudThe agencies said Friday that they would hold a roundtable Sept. 29 to discuss “regulatory harmonization.”
August 29, 2025
SEC Bars Advisor Over Cherry-Picking SchemeBurleson disproportionately allocated profitable option trades to his personal account and unprofitable ones to his clients’ accounts.
August 22, 2025
SEC Chief Taps Armed Forces Judge to Lead Enforcement UnitSEC Chair Paul Atkins selected Margaret “Meg” Ryan, who once clerked for Supreme Court Justice Clarence Thomas.
August 20, 2025
How 401(k) Millionaires Fit Into the Accredited Investor ClassThese investors should get access to sophisticated investments, a new report by David Blanchett and others argues.
August 19, 2025
Advisor's Widow to Pay $3.8M Over Husband's Alleged Ponzi SchemeThe deal is tied to the SEC's pursuit of Stephen Romney Swensen's estate in an alleged $29 million securities scam.
August 19, 2025
4 Issues Hurting Mobile Comms ComplianceJust 25% of firms capture all mobile messages, while the majority rely on workarounds — bleeding budgets and missing risks.
August 15, 2025
12 States With the Highest Rates of Billion-Dollar RIAsSmartAsset rankings are based on the percentage that manage $1 billion or more as of August Form ADV filings.
August 15, 2025
Texting Still in Regulators' CrosshairsIf regulators find violative conduct related to off-channel communications, they will bring actions, Eversheds attorneys say.