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 Bars Phony Advisor Accused of 'Ponzi-Like' Scheme
By Dinah Wisenberg BrinThe CEO, who had no securities licenses, misappropriated $1.8 million and misled investors, the SEC alleges.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.
February 15, 2024
Gensler Vows to Advance SEC's Rule Agenda as Election LoomsThe agency has finalized some 35 rules during the Biden administration, with many remaining rules opposed by Republicans.
February 13, 2024
Treasury Releases AML Rule for AdvisorsThe proposed rule would require RIAs to implement anti-money laundering policies and file suspicious activity reports.
February 12, 2024
Bharara Once Jailed Wall Street Pros. Now He Helps Them Avoid PrisonWhen firms see enforcement actions, they should move to ensure they're "not going to be in the same position," he says.
February 09, 2024
These Controversial SEC Rules Are Likely to Get Passed This YearThe regulator adopted 24 rules in 2023 and is pressing on at a pace that's causing concern.
February 09, 2024
FINRA Fines Current, Former LPL Advisors Over False SignaturesThe advisors both agreed to a fine and suspension.
February 09, 2024
SEC Hits 16 Firms With $81M in Texting FinesThe firms agreed to pay the SEC combined civil penalties of more than $81 million.