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.
7 Top SEC Exam Priorities for 2027
By Melanie WaddellAn "explicit focus on fraud detection and bad actors" is absent from the just-released list, lawyer Nick Morgan says.
October 22, 2026
Ex-LPL Advisor Charged With Wire FraudWilliam Bernard Tunink, now barred from the industry, defrauded more than 50 investors, Iowa prosecutors say.
October 21, 2026
5 Compliance Questions to Ask Before Choosing an AI PlatformFor RIAs and wealth firms, the burgeoning number of options can make vendor selection feel overwhelming.
October 21, 2026
Pay-to-Play's Paper Repeal: SEC RoundupHardy Callcott, a former SEC assistant general counsel, weighs in on what the repeal actually changes inside an advisory firm.
October 21, 2026
SEC Streamlines French Advisor RegistrationThe pathway allows the agency to process new and pending applications received by the French securities commission.
October 20, 2026
SEC Approves FINRA Plan to Allow BDs to Market Performance ProjectionsThe change is modeled on the SEC Marketing Rule's requirements for hypothetical performance.
October 07, 2026
The Accredited Investor Double Standard: SEC RoundupThe agency has released a plan to broaden who qualifies, yet it's still suing people who would meet those criteria.
October 02, 2026
PRO
Outside Business Activities: What to Know Under FINRA's New RulesThe rules narrow BDs' oversight, but firms should flag certain gigs for review.