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 Division Overseeing Private Credit Firms Lost 24% of Staff
By Lydia BeyoudThe SEC's Division of Investment Management lost 24% of its staff during fiscal year 2025.
March 24, 2026
Robo-Advisor Ally Invest to Pay $500K Over ConflictsThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 23, 2026
Commonwealth Agrees to Pay $5M to SEC After $93M Judgment TossedThe settlement would resolve a long-running battle over disclosure of a mutual fund revenue-sharing program.
March 23, 2026
Expect an E-Delivery Rule Soon: SEC ChairSuch a rule is "long overdue," Paul Atkins said Monday.
March 20, 2026
Advisors in SEC Enforcement CrosshairsFiduciary duty breaches are a "core" focus for the agency, according to the acting director of enforcement.
March 19, 2026
'Robust Pipeline' of Rules Ahead: SEC ChiefThe primary goal is "trimming immaterial requirements that burden the market" but don't benefit investors, Atkins said Thursday.
March 17, 2026
SEC, CFTC Move to Define Which Digital Assets are SecuritiesA long-awaited "token taxonomy" carves out payment stablecoins, digital collectives and digital commodities as non-securities.
March 17, 2026
Inside the 2026 Enforcement Manual Updates: SEC RoundupA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.