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.

FINRA Seeks to Align BD, Advisor Portfolio Performance Projections

June 25, 2025

FINRA Seeks to Align BD, Advisor Portfolio Performance Projections
Staff Gone Rogue: Federal Action Without Commission Approval — SEC Roundup

June 24, 2025

Staff Gone Rogue: Federal Action Without Commission Approval — SEC Roundup
BDs Demand a Revamp of These FINRA Rules

June 17, 2025

BDs Demand a Revamp of These FINRA Rules
SEC Names New Investment Management Director

June 13, 2025

SEC Names New Investment Management Director
SEC Shreds Plans for 14 Major Rules

June 13, 2025

SEC Shreds Plans for 14 Major Rules
Vanguard Seeks SEC Approval to Expand Tax-Busting Fund Design

June 12, 2025

Vanguard Seeks SEC Approval to Expand Tax-Busting Fund Design
FINRA Seeks to Allow Challenges to Suspensions, Bars

June 11, 2025

FINRA Seeks to Allow Challenges to Suspensions, Bars