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.
Trump Tightens Grip on SEC, Bank Regulators in Latest Order
By Nicola M. White and Lydia Beyoud and Leah Nylen
January 31, 2025
Father-Son Lifetime Bar Suit Heats Up: SEC RoundupFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
January 21, 2025
SEC Launches Crypto Task ForceThe group will be led by Commissioner Hester Peirce, nicknamed “Crypto Mom” by the industry.
January 21, 2025
Digital Assets, Taxes, Regulatory Pause Top New Year Focus: SIFMAThe group will advocate for maintaining tax-exempt status for municipal securities, according to CEO Ken Bentsen.
January 21, 2025
Trump Names Mark Uyeda as Acting SEC ChairmanRepublican Commissioner Mark Uyeda will serve as acting chairman until the Senate confirms Paul Atkins.
January 17, 2025
Advisor Accused of Stealing From Widowed Aunt Faces Fraud ChargesScott Mason misappropriated $20 million from 13 clients, according to the SEC.
January 17, 2025
Vanguard to Pay $106M to Settle Charges Over Misleading StatementsThe settlement is tied to tax bills some clients received after others switched to lower-cost funds.
January 17, 2025
SEC Fines LPL $18M for AML ViolationsLPL failed to close or restrict thousands of prohibited high-risk accounts, according to the SEC.