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.
The Hidden Math Behind SEC Penalties: SEC Roundup
By Nicolas Morgan and Tom ZaccaroFines are more arbitrary than you think, a former SEC and CFTC enforcement attorney and Vanderbilt Law professor say.
January 23, 2026
Bill Seeks to Modernize Advisor Payment RulesThe Clarity for Compensation Act would "permanently allow commission payments to be made directly to advisors' business entities."
January 23, 2026
FINRA Dings a BD for Lacking Leveraged ETF PoliciesStirlingshire Investments violated Reg BI when it failed to supervise reps' recommendations of the risky products, FINRA found.
January 22, 2026
How to Prepare for the SEC's 2026 Exam PrioritiesExaminers are focused on whether firms can demonstrate that their policies and procedures work in practice.
January 22, 2026
Georgia Advisor Pleads Guilty in $380M Ponzi SchemeTodd Burkhalter "perpetrated what is likely the largest Ponzi scheme in Georgia history," a U.S. attorney said.
January 20, 2026
Cassidy Named Head of SEC Exam DivisionThe agency veteran has been acting director since May 2024.
January 20, 2026
New SEC Marketing Rule FAQ Tackles Fees, TestimonialsMore FAQs are likely on the way as the industry seeks clarity on the rule, says Valerie Mirko.
January 14, 2026
Ex-Cambridge Advisor Barred Over Off-Channel Communications ProbeJay Zornes refused to cooperate with a FINRA probe, the regulator's consent agreement states.