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 Expands Its Rule on Fund Names
By Melanie WaddellThe rule now applies to funds focusing on investment characteristics like growth, value and sustainability.
September 14, 2023
8 Marketing Rule Documents the SEC Requests During ExamsThe agency has already fined firms that have failed to comply, and it's looking for more offenders.
September 13, 2023
'Stoner Cats' NFTs Creator Reaches $1M Settlement With SECSome 10,000 nonfungible tokens were sold to fund a web-based series with actors Mila Kunis and Ashton Kutcher.
September 12, 2023
Trade Groups Plead With SEC to Rethink Custody Rule PlanIndustry groups also want the SEC to withdraw its plan that addresses conflicts when BDs and advisors use AI.
September 11, 2023
SEC Charges 9 More Firms With Marketing Rule ViolationsThe SEC fined the RIAs for advertising hypothetical performance on their websites without following proper procedures.
September 11, 2023
Wealthtender Buys Online Advisor Community AGCMembers of AGC, co-founded by Taylor Schulte and Justin Castelli, will gain access to Wealthtender's marketing tools.
September 06, 2023
Court's Bitcoin ETF Ruling Isn't a Slam DunkWhile the court ruled for Grayscale, it didn't order the SEC to approve a spot bitcoin ETF.
September 06, 2023
How the SEC Picks Advisors to ExamineA new Risk Alert lays out criteria and describes the types of information the agency will request in exams.