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.

Litigation

SEC Says Advisor Defrauded Clients on Fees

By Dinah Wisenberg Brin
Senators Re-Introduce E-Delivery Bill

June 03, 2025

Senators Re-Introduce E-Delivery Bill
RIA Growth Could Stall in 2025: Report

May 30, 2025

RIA Growth Could Stall in 2025: Report
Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC Says

May 28, 2025

Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC Says
Rush to Launch Vanguard-Style Funds Draws Warnings

May 28, 2025

Rush to Launch Vanguard-Style Funds Draws Warnings
Advisor Gets 10 Years in Prison for Stealing $2M From Elderly Clients

May 22, 2025

Advisor Gets 10 Years in Prison for Stealing $2M From Elderly Clients
New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC Roundup

May 22, 2025

New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC Roundup
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case

May 20, 2025

Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case