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.
Supreme Court Ruling Ensures Juries in Many SEC Cases: SEC Roundup
By Nick Morgan | Tom ZaccaroWith the Jarkesy opinion, the agency may no longer pursue such claims through in-house enforcement proceedings.
July 01, 2024
Ex-Billionaire Gets 7 1/2-Year Sentence for Defrauding Investors Goldman, GoogleRishi Shah, who sold ads on TVs in doctors' offices, was convicted of over a dozen fraud and money laundering charges last year.
June 29, 2024
SIFMA, FSI Join Suit to Strike Down DOL Fiduciary RuleThe trade groups join insurance industry groups in asking a court in Texas to vacate the rule.
June 28, 2024
Supreme Court Overturns Chevron Rule in Blow to Agency PowerThe ruling raises new questions about agencies' power to regulate emerging fields like crypto and AI.
June 27, 2024
Supreme Court Curbs SEC's In-House Judges in Fraud CasesThe 6-3 decision could reduce the agency's leverage to extract high-dollar settlements.
June 26, 2024
Expect SEC Reg BI Actions to Heat Up: Law FirmDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 21, 2024
What the RIA Industry Looks Like Now, in 4 ChartsThe number of RIAs continues to grow as well as their AUM, an IAA and COMPLY report finds.