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.

8 Marketing Rule Documents the SEC Requests During Exams

September 14, 2023

8 Marketing Rule Documents the SEC Requests During Exams
'Stoner Cats' NFTs Creator Reaches $1M Settlement With SEC

September 13, 2023

'Stoner Cats' NFTs Creator Reaches $1M Settlement With SEC
Trade Groups Plead With SEC to Rethink Custody Rule Plan

September 12, 2023

Trade Groups Plead With SEC to Rethink Custody Rule Plan
SEC Charges 9 More Firms With Marketing Rule Violations

September 11, 2023

SEC Charges 9 More Firms With Marketing Rule Violations
Wealthtender Buys Online Advisor Community AGC  

September 11, 2023

Wealthtender Buys Online Advisor Community AGC  
Court's Bitcoin ETF Ruling Isn't a Slam Dunk

September 06, 2023

Court's Bitcoin ETF Ruling Isn't a Slam Dunk
How the SEC Picks Advisors to Examine

September 06, 2023

How the SEC Picks Advisors to Examine