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 Consider Revised Funding Model for CAT

September 05, 2023

SEC to Consider Revised Funding Model for CAT
Citigroup Unit Pays $2.9M to Settle SEC Probe

August 29, 2023

Citigroup Unit Pays $2.9M to Settle SEC Probe
Why the Bitcoin ETF Ruling Is a Big Win

August 29, 2023

Why the Bitcoin ETF Ruling Is a Big Win
Court Paves Way for First Bitcoin ETF

August 29, 2023

Court Paves Way for First Bitcoin ETF
Groups Move to Support Advisor in Annuity Switching Case

August 27, 2023

Groups Move to Support Advisor in Annuity Switching Case
Ex-Wells Fargo, LPL Rep Gets 3.5 Years in Prison for Stealing $626K From Clients  

August 25, 2023

Ex-Wells Fargo, LPL Rep Gets 3.5 Years in Prison for Stealing $626K From Clients  
Massachusetts Fiduciary Rule Upheld by Top Court

August 25, 2023

Massachusetts Fiduciary Rule Upheld by Top Court
Wells Fargo to Pay $35M Over Excessive Fees

August 25, 2023

Wells Fargo to Pay $35M Over Excessive Fees
SEC Fines RIA for Paying Social Media Influencers to Solicit Clients

August 23, 2023

SEC Fines RIA for Paying Social Media Influencers to Solicit Clients
SEC Seeks More Comments on Controversial Custody Rule Plan

August 23, 2023

SEC Seeks More Comments on Controversial Custody Rule Plan