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.

8 Marketing Rule Documents the SEC Requests During Exams

September 14, 2023

8 Marketing Rule Documents the SEC Requests During Exams
'Stoner Cats' NFTs Creator Reaches $1M Settlement With SEC

September 13, 2023

'Stoner Cats' NFTs Creator Reaches $1M Settlement With SEC
Trade Groups Plead With SEC to Rethink Custody Rule Plan

September 12, 2023

Trade Groups Plead With SEC to Rethink Custody Rule Plan
SEC Charges 9 More Firms With Marketing Rule Violations

September 11, 2023

SEC Charges 9 More Firms With Marketing Rule Violations
Wealthtender Buys Online Advisor Community AGC  

September 11, 2023

Wealthtender Buys Online Advisor Community AGC  
Court's Bitcoin ETF Ruling Isn't a Slam Dunk

September 06, 2023

Court's Bitcoin ETF Ruling Isn't a Slam Dunk
How the SEC Picks Advisors to Examine

September 06, 2023

How the SEC Picks Advisors to Examine
SEC Adopts Revised CAT Funding Model

September 06, 2023

SEC Adopts Revised CAT Funding Model
New Private-Funds Rules Hit With Court Action: SEC Roundup

September 05, 2023

New Private-Funds Rules Hit With Court Action: SEC Roundup
SEC Charges 5 Advisory Firms With Custody Rule Violations

September 05, 2023

SEC Charges 5 Advisory Firms With Custody Rule Violations