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.
Advisors, Take Note: SEC Rule Revamps Are on the Way
By Melanie WaddellThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 06, 2026
PRO
These Funds Are Quietly Gobbling Up Retirement Plan AssetsCollective investment trusts are showing up on more and more employers' plan menus. Here's what advisors should know.
July 06, 2026
FINRA Shortens Wait Times for Retaking ExamsThe changes, effective immediately, apply to all of the regulator's qualification assessments.
July 01, 2026
House Panel Advances SEC Restructuring BillThe legislation would require the agency to review major rules once implemented and reduce offices.
June 30, 2026
SEC to Conduct Broad Enforcement ReviewChair Paul Atkins says the agency is "redirecting resources toward the types of misconduct that inflict the greatest harm."
June 30, 2026
SEC Mulls New ETF Rules as $16T Boom Disrupts Status QuoThe SEC is signaling a potential rethink of how it oversees ETFs after a wave prediction-market ETF filings.
June 29, 2026
Merrill to Pay $7.5M for Failing to File Suspicious Activity ReportsMerrill failed to investigate certain types of events under a BofA risk scoring system, the SEC said.
June 29, 2026
RIA Must Pay SEC $75K Over Custody Rule ViolationsNortheast Financial Group failed to conduct financial statement audits of private funds that the firm advised.