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.
New FINRA Plan Allows BDs to Market Performance Projections
By Melanie WaddellThe amendments help align communications and marketing materials with the SEC's marketing rule, says attorney Ben Marzouk.
February 13, 2026
SEC Bars Ex-Wells Fargo Advisor in Prison for FraudKenneth A. Welsh, accused of stealing nearly $3 million from clients, was sentenced last July to 3.6 years.
February 12, 2026
Time to Consider Accredited Investor Alternatives: SEC's AtkinsThe SEC chairman told senators that wealth should not be the only qualifier for accredited investor status.
February 11, 2026
SEC Working on Off-Channel Communications, E-Delivery Rules: AtkinsThe SEC chairman testified Wednesday before the House Financial Services Committee.
February 10, 2026
House Passes Bill That Could Help Annuity Issuers Fend Off FedA key financial stability council would have to listen to an insurer before changing its regulator.
February 06, 2026
Commonwealth, SEC Reach Tentative Settlement Over $93M PenaltyThe long-running case centers on revenue sharing payments.
February 03, 2026
FSI Wants These Advisor Rules Modernized in 2026Two big priorities: Off-channel communications and an updated accredited investor definition.
February 03, 2026
Congress Sends Trump $1.2T Spending Package With SEC Funding, Medicare ProvisionsThe Medicare provisions could eventually help clients use their favorite pharmacies and pay for Apple Watch devices.