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.
RIAs Charged With Inflating AUM and Misrepresenting Locations
By Melanie WaddellThe firms claimed that a separate RIA reported information about their private funds on its own Form ADV.
October 29, 2025
With Two Months to Go, RIA Deals Set New Full-Year Record: DeVoeWith a strong third quarter, the industry is set to surpass the 300-transaction mark for the first time.
October 29, 2025
Warren, Sanders Press SEC, Labor to Explain Guardrails on Alts in 401(k)sIn a letter Tuesday, the senators expressed "serious concerns" about making private investments available in the accounts.
October 28, 2025
Harvard Law Prof on Ending Quarterly Reports, Mandatory Arb: SEC RoundupHarvard Law Professor Hal Scott unpacks two current debates that will shape the future of U.S. public markets.
October 28, 2025
New Crypto ETFs Launch in Crowded Field Despite SEC ShutdownThe agency's shutdown guidance allows some filings to become effective automatically after 20 days.
October 27, 2025
Suit Accuses First Trust of Aiding $89M Fraud Targeting RetireesThe scheme involved "extraordinarily risky" structured notes tied to Zoom, Tesla, Netflix and Amazon stocks, the filing contends.
October 17, 2025
State Regulators See Rise in Tech-Related SchemesInvestment frauds connected to social media use have been identified as "significant dangers" in an enforcement report.
October 15, 2025
Vanguard's Equity Head Joins SEC Investor Advisory CommitteeThe agency added four members to the panel, which advises on regulatory priorities and initiatives.