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.
Biblical ETF Firm Misrepresented Its Investing Strategy: SEC
By Melanie WaddellThe SEC fined Inspire Investing $300,000, saying it didn't follow its own screening criteria.
September 17, 2024
SEC Texting Sweep Hits 12 Muni AdvisorsThe advisors agreed to pay more than $1.3 million for failure to preserve off-channel communications.
September 12, 2024
SEC Charges Pastor-Turned-Advisor With $2.4M FraudThe former advisor sold phony promissory notes to Christian clients, the SEC alleges.
September 12, 2024
SEC Investor Advisory Committee Gets New Members, Tees Up 'Best Interest' DebateA panel will discuss when financial professionals are "investment advice fiduciaries"; six new members joined the committee.
September 09, 2024
SEC Hits 9 Firms in Marketing Rule CrackdownThe RIAs ran ads with untrue or unsubstantiated statements or broke rules around ratings and testimonials, the SEC says.
September 06, 2024
RIA Hid Fee Hikes From Clients, SEC SaysThe firm charged $1.36 million in higher fees it failed to properly disclose, a lawsuit says.
September 05, 2024
SEC Fines RIA for Custody Rule ViolationsClearPath failed to timely distribute annual audited financial statements to investors in certain private funds, the SEC said.
September 05, 2024
California DOJ Fines Robinhood $3.9M in First-Ever Crypto Enforcement ActionThe settlement marks the first public enforcement action by the state DOJ against a crypto company.