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 Pushes Back Against New Wave of High-Leverage ETF Plans
By Isabelle Lee and Vildana HajricAt stake is whether a new generation of ETFs comply with regulatory limits governing fund risk relative to assets.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 26, 2026
SEC Bars Advisor Who Took $9.8M From Older ClientEjiro Ode Okuma used funds to build a luxury residence, purchase vehicles and buy vacation homes, the agency says.
February 26, 2026
Ritholtz to Launch Its First ETFThe actively managed Goaltender ETF will adjust stock exposure based on market trends.
February 24, 2026
SEC Closes LPL Cash Sweep ProbeThe firm still faces class action lawsuits over low rates paid on cash and says it will defend itself.
February 23, 2026
Massachusetts Advisor, Firm to Pay $150,000 in Annuity Switching CaseJeffrey Cutter and his firm failed to disclose significant upfront commissions and other conflicts of interest, a jury found.
February 20, 2026
SEC Updates FAQ on Controversial Fund Names RuleThe new FAQ signals a looser interpretation of the rule.
February 18, 2026
SEC Approves FINRA Gift Limit Boost to $300The previous $100 limit had been in effect since 1992.