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 Investigating Florida Advisor Facing Millions in Lawsuits: Report
By Melanie WaddellMichael Watkins is accused of defrauding 13 clients.
August 27, 2026
Court Upholds SEC Texting Settlement Against Apex ClearingA federal appeals court has denied a petition by Apex Clearing Corp. to modify the $6 million SEC settlement terms.
August 26, 2026
SEC Sends Custody Rule Changes to White House for ReviewThe SEC plan would modernize the regulations around custody of advisor assets, including crypto assets, the filing at OMB says.
August 21, 2026
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AI Rules for Advisors Aren't Here Yet. The Compliance Risks Are.Advisors should expect regulators to scrutinize their AI use under existing rules.
August 20, 2026
Franklin Plans to Push Tokenized Assets Into Traditional FundsThe firm is aiming to use its tokenized money-market fund inside ETFs and mutual funds, after SEC approval.
August 18, 2026
SEC Proposes Some Registration Exemptions for Crypto OfferingsOfferings up to $5 million would be exempted for four years and offerings up to $75 million would be exempt for 12 months.
August 17, 2026
FINRA Moves to Strengthen Fraud Rules for SeniorsThe BD regulator has sent three investor protection proposals to the SEC for approval.
August 17, 2026
Advisor Gets 20-Year Sentence in Georgia's Biggest-Ever Ponzi SchemeTodd Burkhalter and others scammed nearly 4,000 investors out of about $380 million.