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.
Retiree Gets Jail for Role in $47M Insider Trading Scheme
By Chris DolmetschThe Oregon resident conspired with a Nuveen trader, now serving a six-year sentence, a court ruled.
April 24, 2025
Jury Finds Massachusetts Advisor Failed to Disclose Annuity Conflicts to RetireesThe verdict holds Jeffrey Cutter and his firm accountable for breaching fiduciary duties to clients, the SEC said.
April 22, 2025
DOGE Asks SEC Staff for Efficiency Ideas, Promises AnonymityThe regulator began its “partnership” with the Department of Government Efficiency a few weeks ago.
April 22, 2025
Paul Atkins Sworn in as SEC ChairAtkins must now contend with DOGE, market turbulence and a slimmed-down staff.
April 18, 2025
SEC Pushes Back on DOGE Access to Some Agency DataEliezer Mishory, who's leading the DOGE team at the SEC, requested staff emails, personnel data and contracts.
April 16, 2025
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 OthersSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 10, 2025
Paul Atkins Takes Helm of a Very Different SECThe new chair must grapple with turbulent markets, tariffs, DOGE on site and a slimmed-down agency.