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.
Outside Business Activities: What to Know Under FINRA's New Rules
By Melanie WaddellThe rules narrow BDs' oversight, but firms should flag certain gigs for review.
October 01, 2026
Stifel Pays Another $30M Over Barred Broker's Structured Notes StrategyThe financial services firm has paid more in damages in disputes tied to Chuck Roberts' investment approach.
September 30, 2026
SEC Censures, Fines Zoe Financial Over Alleged Conflicts of InterestThe referral service failed to fully disclose conflicts around a sub-advisory it operates, according to the agency.
September 24, 2026
SEC to Consider Accredited Investor Expansion Next WeekThe agency will also consider allowing performance fees to be charged in retail funds.
September 23, 2026
Vanguard, Morgan Stanley, Pershing Face Class Action Over Paper Statement FeesThe financial firms were sued in federal court over charging for written records of balances and trades.
September 22, 2026
FINRA's BrokerCheck Now Links to Derivatives Industry DatabaseThe tool connects to the National Futures Association's Background Affiliation Status Information Center, or BASIC.
September 17, 2026
House Financial Services Backs Life and Annuity Registration Form BillThe highest-ranking Democrat on the panel thinks the measure could limit the SEC's ability to regulate the products' disclosures.
September 16, 2026
SEC Approves FINRA's Outside Business Activity PlanThe approval hands a "big win" to dually registered advisors, says lawyer Brian Rubin.