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.
Sen. Warren Presses SEC's Gensler on Crypto Exchange Regulation
By Melanie WaddellWarren signaled that legislation may be needed to give the SEC the authority it needs.
July 01, 2021
With a Record Fine Behind It and an IPO Ahead, Will Robinhood Change Its Ways?The brokerage prepares to go public amid discussion of whether the $70 million penalty is "an absolute joke" or "a start" on holding it responsible.
June 30, 2021
Biden's Carried Interest Tax Proposal Could Put Fund Managers in SEC's SightsUnder Biden's proposal, fund managers might change valuation methods or impose additional fees, which would draw SEC scrutiny.
June 29, 2021
JPMorgan Subsidiary to Pay $2.75M for Failing to Register as BDIn an unusual move, SEC Commissioner Hester Peirce said she disagrees with the majority decision.
June 28, 2021
Cathie Wood's Ark Files for Bitcoin ETF as Wait for SEC Goes OnThe ARK 21Shares Bitcoin ETF would track the cryptocurrency's performance and hold Bitcoin, too, says a filing.
June 23, 2021
Guggenheim Securities Slapped by SEC for Violating Whistleblower RulesThe Guggenheim training manual forbade employees from communicating directly with the SEC, according to the agency.
June 21, 2021
What Should the SEC Require in Climate Change Disclosures?The agency received hundreds of responses to its call for input on climate change disclosure rules.
June 21, 2021
Goldman Gets Review of Investor Suit in Supreme Court RulingInvestors, led by the Arkansas Teacher Retirement System, say they were deceived by the firm's assurances that it was avoiding conflicts of interest.