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.
FINRA Attempt to Change Trading Rule May Cause More Risk: SEC Roundup
By Nicolas Morgan and Tom ZaccaroFINRA will seek approval to lower the minimum account balance for frequent traders to $2,000 from $25,000.
October 06, 2025
Orion Veterans Launch AI-powered Communication PlatformThe founders of Hamachi.ai include technology entrepreneurs Eric Clarke, Brian McLaughlin, Mike Wilson and Mustapha Baassiri.
October 01, 2025
Biggest Quarter Ever for RIA Deals: DeVoePrivate equity-backed consolidators represented the majority of Q3 activity, fueling consolidation, the consulting firm reports.
October 01, 2025
'This Is Not Shutdown Lite': Impasse Could Last Months, Strategist Warns"No one truly knows how long this shutdown will last," offers Jeff Bush of The Washington Update.
September 30, 2025
SEC Orders Operating Cost Cuts to CATThe costs of running the order-tracking system "have ballooned beyond belief," says Paul Atkins, the agency chair.
September 29, 2025
ETF Share Classes Coming Soon: A 'Huge Step Forward,' but Questions RemainDual share class funds could face conflict-of-interest issues, an asset management executive says.
September 29, 2025
SEC Chief Dismisses Talk of Merger With CFTC"The CFTC and SEC have operated in parallel lanes too often in conflict with each other," Paul Atkins said Monday.
September 29, 2025
SEC Plans to Let Dimensional Offer Dual Share Class FundsRoughly 70 other asset managers are waiting to hear back from the SEC on their applications.