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 ‘Prioritizing’ Trump’s Push to Cull Quarterly Reporting
By Lauren Dezenski and Lydia BeyoudThe SEC said in a statement it is pursuing a proposal to "further eliminate unnecessary regulatory burdens on companies."
September 10, 2025
State-Registered Investment Advisors, by the NumbersHere's a look at RIAs with $100 million or less under management.
September 09, 2025
Judge Tentatively OKs $25M Vanguard Target-Date Selloff SettlementA previously rejected $40 million settlement would have paid less to affected investors.
September 09, 2025
SEC Sued Over Accredited Investor RuleA health care startup executive says she was blocked from investing in a venture capital fund.
September 05, 2025
Who Actually Needs to Register as a Broker-Dealer? — SEC RoundupAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
September 05, 2025
Massachusetts RIA to Pay $75K Over Marketing Rule ViolationsThe firm claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said.
September 05, 2025
5 Big Rules on the SEC's 2026 To-Do ListThe agency plans to propose and finalize some major directives this year and next, its agenda shows.
September 05, 2025
SEC and CFTC Start Bid to Align Agencies’ Rules for Wall StreetThe agencies said Friday that they would hold a roundtable Sept. 29 to discuss “regulatory harmonization.”