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.
What the Forbes Fiasco Means for the Future of Advisor Rankings
By Rob BurgessThere are other ways to identify top advisors, an industry executive says.
August 11, 2026
SEC Alleges Fund Advisor Misled Investors in Pre-IPO SchemesAdit Ventures and its co-founder are accused of making false claims and overcharging clients millions of dollars to buy shares of SpaceX.
August 10, 2026
The Endless Wells Notice Limbo: SEC RoundupA Wells notice is meant to signal the end of an SEC investigation. Many companies instead land in a holding pattern.
August 10, 2026
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred BrokerTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.
August 06, 2026
Ex-Schwab Portfolio Manager Files Whistleblower Suit After Texting ComplaintsSabya Sinha alleges that he was terminated after reporting violations to the SEC.
August 04, 2026
Edward Jones Freezes $3M Account Under Senior Fraud RuleLarry Williams, 86, balked and moved money to Merrill Lynch, the Dallas Morning News reports.
August 03, 2026
RIA to Pay Nearly $500K for Overcharging ClientsPapamarkou Wellner Asset Management's client fees didn't match its advisory agreements or disclosure brochures, according to the SEC.
August 03, 2026
UBS to Pay $125M Over Anti-Money Laundering FailuresThe broker-dealer failed to adequately monitor customers' foreign currency wire transactions and onboarded risky clients, FinCEN finds.