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.
AI Is Now Advisors' Top Compliance Worry. Here's What They Should Do.
By Melanie WaddellEighty-five percent cite the technology as their most pressing concern, the Investment Management Compliance Testing Report finds.
July 24, 2026
The Hollow Supreme Court Disgorgement Victory: SEC RoundupThe Supreme Court ruling letting the SEC pursue disgorgement without proving investor harm may be largely symbolic.
July 23, 2026
SEC Agrees to Pay $150,000 to End Coinbase Suit Over RecordsThe agreement ends a two-year Freedom of Information Act legal battle between the Wall Street regulator and Coinbase.
July 21, 2026
U.S. Considers Creating FINRA-Like Watchdog to Vet Top AI ModelsThe plan would create an independent regulatory agency for AI that would report to the SEC.
July 20, 2026
PRO
Are You Making These Compliance-Related Annuity Mistakes?Failing to understand a client's needs and not documenting why the product is suitable are just two concerns, advisors say.
July 16, 2026
SEC Releases New E-Delivery RuleRegulation E-Delivery would allow firms to send documents electronically without requiring investors to opt in.
July 14, 2026
PRO
How to Track Life Insurers' 'Payment in Kind' ExposurePIK is no longer about farmers paying off loans with loads of carrots; it's a key health indicator for private credit portfolios.
July 13, 2026
PRO
A New Custody Rule Is on the SEC's Agenda. Here's What to Know.The agency plans to issue a proposed rule that would address questions raised by advisors about holding crypto.