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.
Clock Starts Ticking on Fidelity's Bitcoin ETF
By Bernice NapachThe Cboe has filed an application with the SEC to list Fidelity's Bitcoin ETF, which the agency has 45 to 240 days to review.
May 04, 2021
SEC Delays Bitcoin ETF ApprovalThe agency pushed off its decision on whether to approve a Bitcoin ETF for VanEck until at least June 17.
April 30, 2021
Barred Long Island Broker Charged in Pre-IPO Share ScamThe broker and his partner allegedly took $436,000 from investors who thought they were buying shares of Peloton, WeWork or Airbnb.
April 30, 2021
Has the SPAC Spigot Finally Run Dry?The days of 20 or 30 new SPACs each week may be behind us. And that isn't necessarily a bad thing, experts say.
April 28, 2021
SEC's New Enforcement Chief Resigns After Days in RoleHer conduct as a lawyer in an ExxonMobil civil case was called into question, Bloomberg reported.
April 26, 2021
Why Family Offices Are in SEC's CrosshairsIndustry officials weigh in on the Archegos meltdown, along with a review of a family office rule that's already on the regulatory agenda.
April 23, 2021
In Wake of Archegos Blowup, Will SEC Overstep?The SEC may try to compel more disclosure in ways that exceed its authority.
April 22, 2021
Alex Oh Named SEC Enforcement ChiefShe "has the expertise as a highly respected lawyer to ensure that the SEC protects investors," SEC Chairman Gary Gensler said.