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.
Edward Jones Freezes $3M Account Under Senior Fraud Rule
By Melanie WaddellLarry Williams, 86, balked and moved money to Merrill Lynch, the Dallas Morning News reports.
July 30, 2026
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AI Is Now Advisors' Top Compliance Worry. Here's What They Should Do.Eighty-five percent cite the technology as their most pressing concern, the Investment Management Compliance Testing Report finds.
July 29, 2026
What 'The Wolf of Wall Street' Left OutFBI files and interviews tell a different story about a disgraced broker in the 1990s, says Bloomberg's Jason Leopold, producer of a new docuseries.
July 28, 2026
Will the SEC Scrap This Vague Texting Rule?The agency plans to issue proposals in October on which records that BDs and RIAs need to keep.
July 24, 2026
The Hollow Supreme Court Disgorgement Victory: SEC RoundupThe Supreme Court ruling letting the SEC pursue disgorgement without proving investor harm may be largely symbolic.
July 23, 2026
SEC Agrees to Pay $150,000 to End Coinbase Suit Over RecordsThe agreement ends a two-year Freedom of Information Act legal battle between the Wall Street regulator and Coinbase.
July 21, 2026
U.S. Considers Creating FINRA-Like Watchdog to Vet Top AI ModelsThe plan would create an independent regulatory agency for AI that would report to the SEC.
July 20, 2026
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Are You Making These Compliance-Related Annuity Mistakes?Failing to understand a client's needs and not documenting why the product is suitable are just two concerns, advisors say.