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 Adds 4 Members to Investor Advisory Committee
By Melanie WaddellThe newcomers include Sheldon Ray, a former senior vice president at Raymond James & Associates.
May 26, 2026
Ex-Broker Pleads Guilty to $9.5M Ponzi SchemeEdwin Emmett Lickiss Jr., 78, admitted to defrauding investors over 26 years.
May 22, 2026
SEC Delays Plan Allowing for Crypto Versions of U.S. StocksThere's concern about the trading of third-party tokens set to be issued without the consent of the public companies involved.
May 21, 2026
SEC Commissioner Hester Peirce to ExitThe SEC's "Crypto Mom" will leave the agency in November to teach at Regent University.
May 15, 2026
SEC to Remain 'Active' in Pursuing Advisor CasesThe agency will also focus on retail investor fraud, according to its new enforcement chief, David Woodcock.
May 15, 2026
Why Everyone is Suing the SEC Now — SEC RoundupMarket participants are abandoning the decades-old "settle-and-move-on" playbook, a Vanderbilt Law professor explains.
May 14, 2026
Long-Stalled Crypto Bill Wins Key Senate Committee VoteThe Senate Banking Committee advanced the Clarity Act, which would establish the CFTC as crypto's primary regulator.
May 12, 2026
E-Delivery Rule Will Be 'Broader': SEC ChiefThe SEC's e-delivery approach will apply across BDs and investment advisors, Atkins said at FINRA's annual conference.