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.
6 Big Rules the SEC Plans to Tackle in 2022
By Melanie WaddellOn the agency's agenda are proposals tied to exchange-traded products, money market reforms and other issues.
December 26, 2021
Sustainable Investing: The Outlook for 2022Through the third quarter, global sustainable funds amassed some $4 trillion in assets, including more than $330 million in U.S. mutual funds and ETFs.
December 23, 2021
SEC Rejects Two Spot-Bitcoin ETFsRegulators handed cryptocurrency enthusiasts a proverbial bag of coal ahead of the Christmas holiday.
December 22, 2021
Bitcoin Fails to Make SEC Chief's To-Do List: 2022 OutlookSEC approval of a spot Bitcoin ETF remains in limbo as Republican commissioners balk at the omission of crypto from Gensler's agenda.
December 21, 2021
Ex-OppenheimerFunds Analyst Pleads Guilty to Securities FraudThe New York funds analyst had been accused of misappropriating confidential info on pending trades by his employer.
December 20, 2021
SEC Commissioner Roisman to DepartHis exit will expand the Democrats' majority at the agency, which is now led by Gary Gensler.
December 17, 2021
JPMorgan Bosses, Hooked on WhatsApp, Fuel $200M PenaltyTens of thousands of messages escaped surveillance, hindering investigations, the SEC said as it doled out an unusually large fine.
December 16, 2021
Wedbush to Pay More Than $1.2M Over Unregistered Microcap Securities SalesThe firm also failed to report suspicious transactions, the SEC alleged.