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.
October 21, 2024
7 Top SEC Exam Priorities for 2025In addition to core business practices, examiners will focus on new rules, emerging tech and investor data protection.
October 18, 2024
Fidelity, Russell and SEI Quizzed by DOJ as Ken Leech Probe Ramps UpMoney managers that used Western Asset Management to help invest their bond portfolios are being questioned by authorities.
October 18, 2024
SEC X Account's Alleged Hacker Arrested Over Fake Bitcoin ETF PostThe fake post, a day ahead of the approval of spot Bitcoin ETFs, caused the price of Bitcoin to surge.
October 18, 2024
BD Violated Reg BI With Excessive Trading That Cost Clients $1M: SECPHX Financial and a registered rep made over $400,000 in commissions and fees while clients lost money, the SEC said.
October 18, 2024
Dropped Accountant Cases May Lead to Federal Court Bars: SEC RoundupThe SEC may move away from administrative proceedings in accountant cases, according to former enforcement director Andrew Ceresney.
October 16, 2024
XYPN Unveils 'New Path to Independence' via Corporate RIA, With a TwistThe Sapphire offering differs from other corporate RIAs in key ways, co-founders Michael Kitces and Alan Moore say.
October 07, 2024
Top DOL Official Sees a 'Nonsensical' Reality at Heart of Fiduciary FightThe current state of best-interest regulation is too complicated for retirement investors to understand, says Ali Khawar.
October 03, 2024
Thrivent Takes Reg BI Hit Over Outdated Share Class CalculatorThe firm recommended pricier shares in two 529 plans after failing to account for a fee change, regulators said.
October 02, 2024
TD Securities to Pay $28.5M to Resolve Spoofing AllegationsThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.