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 Sends Custody Rule Changes to White House for Review
By Melanie WaddellThe SEC plan would modernize the regulations around custody of advisor assets, including crypto assets, the filing at OMB says.
August 18, 2026
SEC Proposes Some Registration Exemptions for Crypto OfferingsOfferings up to $5 million would be exempted for four years and offerings up to $75 million would be exempt for 12 months.
August 17, 2026
FINRA Moves to Strengthen Fraud Rules for SeniorsThe BD regulator has sent three investor protection proposals to the SEC for approval.
August 17, 2026
Advisor Gets 20-Year Sentence in Georgia's Biggest-Ever Ponzi SchemeTodd Burkhalter and others scammed nearly 4,000 investors out of about $380 million.
August 17, 2026
What the Forbes Fiasco Means for the Future of Advisor RankingsThere are other ways to identify top advisors, an industry executive says.
August 14, 2026
SEC Prepares to Ease Rule on Advisors' Political DonationsThe rule restricts investment advisors from working for public pension funds if they've donated to state and local officials.
August 11, 2026
SEC Poised to Unveil Major Crypto Plans as Clarity Act StallsThe regulator plans to hold an open meeting Friday "to create a tailored offering regime" involving crypto assets.
August 11, 2026
SEC Alleges Fund Advisor Misled Investors in Pre-IPO SchemesAdit Ventures and its co-founder are accused of making false claims and overcharging clients millions of dollars to buy shares of SpaceX.