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.
Ivan Boesky, Convicted of Insider Trading in 1980s, Dies at 87
By Greg FarrellThe high-flying trader speculator was exposed as a cheat in a scandal that defined the era and sent him to prison for two years.
May 17, 2024
RIAs, BDs Must Tell Clients About Data Breaches: SECA new rule amendment requires firms to notify clients within 30 days if private data has been compromised.
May 14, 2024
How to Avoid 5 Mistakes With Client TestimonialsIt's important to establish a publishing process with appropriate guidelines and disclosures in place.
May 13, 2024
SEC, Treasury Crime Unit Float Customer ID Rule for AdvisorsThe proposed rule is intended to fight money laundering and the financing of terrorism, said SEC Chairman Gary Gensler.
May 06, 2024
U.S. Regulators Seek More Power to Claw Back Banker BonusesThe long-delayed rules would force lender clawbacks from executives who take too much risk.
May 03, 2024
Trump Media's Accounting Firm Accused of Fraud, Fined $14MThe fraud was "massive" and affected 1,500 regulatory filings, the SEC says.
May 02, 2024
Beware of Double Jeopardy in SEC Proceedings: SEC RoundupAfter federal court litigation, the SEC may seek to bar you for the same conduct.
April 30, 2024
LPL Nears $50M SEC Settlement Over Messaging App UseThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.