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 Brings First Marketing Rule Action; Firm to Pay $1M

August 21, 2023

SEC Brings First Marketing Rule Action; Firm to Pay $1M
SEC Bars Advisor for Working With Revoked Registration, Touting False Designation

August 18, 2023

SEC Bars Advisor for Working With Revoked Registration, Touting False Designation
New York Life Joins MOVEit Breach Notice List

August 15, 2023

New York Life Joins MOVEit Breach Notice List
Who's Next in $2.5B WhatsApp Probe?

August 09, 2023

Who's Next in $2.5B WhatsApp Probe?
Wall Street's New WhatsApp Fines Take Tab Past $2.5B

August 08, 2023

Wall Street's New WhatsApp Fines Take Tab Past $2.5B
Wells Fargo to Pay $125M in WhatsApp Crackdown

August 08, 2023

Wells Fargo to Pay $125M in WhatsApp Crackdown
The SEC's New AI Plan Expands Reg BI — and More

August 07, 2023

The SEC's New AI Plan Expands Reg BI — and More
Beware, the SEC Is Coming for You!

August 07, 2023

Beware, the SEC Is Coming for You!
Ex-Cetera Advisor Charged With Defrauding Older Client Out of $2.4M

August 01, 2023

Ex-Cetera Advisor Charged With Defrauding Older Client Out of $2.4M
ETF Managers Group, Founder Hit With $4.4M SEC Penalty

August 01, 2023

ETF Managers Group, Founder Hit With $4.4M SEC Penalty