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 Charges Trader With Fraud Over False Tweets
By Melanie WaddellThe Irvine, California-based trader used Twitter and other channels to spread false information about a defunct company, the SEC says.
March 12, 2021
Unregistered Investment Advisor Pleads Guilty to Securities FraudHe took millions of dollars of client money out of the funds he managed to repay other investors, prosecutors said.
March 11, 2021
Be Wary of Celebrity SPAC Endorsements, SEC WarnsSponsors may have conflicts of interest, so their economic interests in the SPAC may differ from those of shareholders.
March 10, 2021
Gensler SEC Nomination Advances to SenateThe Senate Banking Committee approved it by a 14-10 vote.
March 10, 2021
Gensler SEC Nomination to Get Senate Banking Vote TodayIf approved, Gensler's nomination will move to the full Senate.
March 05, 2021
SEC Ad Rule Published in Federal Register, Setting Effective DateThe rule becomes effective May 4.
March 05, 2021
SEC Fears Falling Behind on Advisor ExamsThe SEC's exam chief says it will be difficult to maintain last year's 15% exam rate in a "nutty year" for markets.
March 03, 2021
SEC's Top 6 Exam Priorities for 2021The scope of Reg BI exams will be expanded this year, the agency noted in its just-released exam priorities list.