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.
Vanguard Seeks SEC Approval to Expand Tax-Busting Fund Design
By Emily GraffeoVanguard aims to use its signature dual-share class design with actively managed funds.
June 10, 2025
SEC Investment Management Director to Step DownNatasha Vij Greiner will depart after 23 years at the agency.
June 06, 2025
SEC Says Advisor Defrauded Clients on FeesDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.
June 05, 2025
Accredited Investor Qualification Bill ReemergesThe bill would update the list of certifications that would give an investor wider access to private investments.
June 04, 2025
Bill Advancing in Congress Creates Senior Fraud Task Force at SECThe Senior Security Act passed the House Financial Services Committee and would help strengthen protections against financial predators.
June 03, 2025
Senators Re-Introduce E-Delivery BillThe legislation requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
May 30, 2025
RIA Growth Could Stall in 2025: ReportWhile the number of SEC-registered advisors grew in 2024, economic and other factors could shift that trend.
May 28, 2025
Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC SaysChristopher Aubin is accused of defrauding 24 investors, including two veterans he served with, out of $2.5 million.