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.
Rush to Launch Vanguard-Style Funds Draws Warnings
By Emily Graffeo and Vildana HajricAdding ETF share classes to mutual funds could mean taxable gains get passed on to ETF investors.
May 20, 2025
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff CasePlaintiffs will get a better deal under an SEC settlement, the judge found.
May 20, 2025
Accredited Investor Standard Should Be Eliminated: SEC's PeirceThe move would give more investors access to private markets through "diversified, professionally managed funds," the commissioner says.
May 19, 2025
5 Years In, Reg BI Is Still Unclear to BDsCompliance professionals say Reg BI has been a heavy lift but has helped to derisk the industry.
May 19, 2025
Advisors Must Prepare for Where Crypto Is HeadedAs the tone changes toward the digital currency, strong compliance frameworks have never been more essential.
May 19, 2025
SEC to Review Trade Data CollectionThe CAT system has gotten pushback over costs and security risks, SEC chairman Paul Atkins says.
May 16, 2025
New Bill Would Require SEC to Update 'Small Entity' DefinitionRaising the threshold, currently $25 million in AUM, would give small RIAs special consideration in federal rulemaking.
May 08, 2025
Wall Street Brokers Risk Losing Billions in Fees on SEC ShiftA potential regulatory shift in favor of the ETF industry is expected to shake up the business models.