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.
Stifel Pays $3M to Settle Claim Over Barred Broker's Structured Notes Strategy
By Melanie WaddellAfter a $133 million award in April, the firm faces up to 19 additional complaints tied to Chuck Roberts.
June 15, 2026
New York Tax Preparer Sentenced in $50M Ponzi SchemeMiles Burton Marshall had pleaded guilty to grand larceny, securities fraud and scheme to defraud.
June 15, 2026
Fidelity to Launch Its First Mutual Fund ETF Share ClassesThe share classes will be added to municipal income, real estate and short-term bond mutual funds.
June 12, 2026
FINRA Files to Make Remote Inspections PermanentThe regulator is also seeking approval on rules to modernize home office inspections and more flexible CE requirements.
June 12, 2026
Ken Leech Pleads Guilty to Obstructing SEC Probe Into $600M TradesThe former star bond trader admitted at a court hearing that he lied to the Securities and Exchange Commission.
June 11, 2026
SEC Proposes to Scrap Trade-Through Rule for Equities ExecutionSEC Chairman Paul Atkins has been a critic of the rule since its inception.
June 11, 2026
Trump Taps Wall Street Top Cop Jay Clayton as Intelligence ChiefThe move follows the president's controversial selection of housing regulator Bill Pulte to serve in the role on an acting basis.
June 10, 2026
Professional Investors Pan SEC Reporting Overhaul in SurveyAlmost two-thirds of investment analysts and portfolio managers said the SEC should keep mandatory quarterly financial reporting.