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.
Ex- Broker Settles SEC Fraud, Reg BI Charges for $2M
By Melanie WaddellChristopher Booth Kennedy has agreed to pay more than $2 million to settle the charges.
December 06, 2024
Trump's SEC Pick Criticized Bank Regulators' Efforts to Expand ScopePaul Atkins told them to stop trying to oversee solvency at life and annuity issuers and asset managers.
December 05, 2024
TD Suspends Growth Guidance in Wake of Historic SettlementAsked if the bank would consider U.S. divestitures, its CEO said “everything is on the table.”
December 04, 2024
Trump Picks Paul Atkins to Head SECAtkins, CEO of Patomak Global Partners in Washington, is a former SEC commissioner.
December 03, 2024
Western Asset Management Names New CEO After SEC ProbeThe news comes after former co-CIO Ken Leech was charged with fraud.
November 27, 2024
Atkins, Ex-SEC Commissioner, Could Succeed GenslerTrump is expected to make a pick in the coming days, but no decision has yet been made.
November 27, 2024
Court Strikes Down SEC Dealer Rule: SEC RoundupThe rule expanded the definition of "dealer" so that many private fund advisors would have had to register.
November 26, 2024
Robinhood’s Gallagher Drops Out of SEC Chair ConsiderationThe ex-SEC commissioner, now Robinhood's chief legal officer, said he's "committed" to the firm's millions of customers.