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 Proposes to Scrap Trade-Through Rule for Equities Execution
By Lydia BeyoudSEC Chairman Paul Atkins has been a critic of the rule since its inception.
June 09, 2026
SEC Warns Advisors on Conflicts in Cash Management, FeesA new risk alert points to deficiencies found during advisor exams.
June 08, 2026
FBI Offers $150K Reward for Fugitive Advisor Wanted in Fraud SchemeAuthorities haven't seen Christopher Burns, accused of defrauding about 100 investors, since 2020.
June 05, 2026
Western Asset to Pay $100M in SEC Settlement Over Leech TradesThe settlement resolves an investigation related to trading practices of the firm's onetime star manager Ken Leech.
June 04, 2026
Supreme Court Bolsters SEC's Power to Recoup Illegal GainsThe justices ruled unanimously Thursday that the regulator doesn't have to show investor harm to win disgorgement.
June 03, 2026
Number of RIAs Sets New Record: ReportWhile the number of RIAs grew in 2025, the regulatory environment is shifting under the SEC.
June 02, 2026
SEC Adds 4 Members to Investor Advisory CommitteeThe newcomers include Sheldon Ray, a former senior vice president at Raymond James & Associates.
June 02, 2026
Bluespring Wealth Launches RIABluespring Wealth Management is intended to be a centralized model to handle compliance and other functions, Pradeep Jayaraman says.