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 Fines Robo-Advisor SoFi Wealth Over ETF Conflicts
By Melanie WaddellThe firm left some clients with taxable gains as it moved them into proprietary funds, the SEC said.
August 12, 2021
SEC Charges Former Advisory Firm, CEO With Bribing College AthletesThe CEO directly and indirectly paid more than $96,000 to influence prospective clients to retain the advisory firm, the regulator says.
August 11, 2021
Gensler to Sen. Warren: SEC Needs More Authority to Regulate CryptoRegulators "would benefit from additional plenary authority to write rules for and attach guardrails to crypto trading and lending," Gensler says.
August 09, 2021
SEC Bars Ex-Pimco CEO Hodge Over College Admissions ScamThe sanction comes more than a year after the executive was sentenced to nine months in prison for his actions.
August 09, 2021
SEC Approves Nasdaq Board Diversity PlanThe rules give investors "a better understanding of Nasdaq-listed companies' approach to board diversity," said SEC Chairman Gary Gensler.
August 06, 2021
10 Worst Financial Advisors in America to Date in 2021The latest advisors and brokers who "qualified" so far include alleged scammers, an alleged batterer and a registered sex offender.
August 05, 2021
Gensler Gets Wish as Bitcoin Futures ETF Filings LandWithin the past 24 hours, ProShares and Invesco have registered plans with the SEC for funds based on futures.
August 05, 2021
Interactive Brokers Hit With Class-Action Suit Over $23M Ponzi SchemeThe firm disregarded its own compliance department's red flags and written internal compliance policies to further aid the scheme, the suit states.