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.
Former Broker Accused of Running $9.5M Ponzi Scheme
By Dinah Wisenberg BrinThe former broker purportedly retired after a 2014 suspension but kept soliciting investments, fraudulently, prosecutors allege.
July 21, 2025
Treasury Delays AML Rule for Advisors to Conduct 'Broad Review'FinCEN also intends to revisit the proposed customer identification requirements for advisors.
July 14, 2025
American Portfolios to Pay $1.75M for Overbilling, False Compliance ReviewsAmerican Portfolios overbilled on alts, failed to disclose payments to an affiliate BD and backdated compliance reviews, the SEC said.
July 11, 2025
SEC’s Peirce Says Tokenized Securities Must Comply With RulesPutting digital versions of stocks on a blockchain doesn’t mean companies can skirt securities laws, she said.
July 02, 2025
Remote FINRA Inspections Raise Misconduct Risk: PIABAFully remote supervision and inspections of home offices would undermine investor protection, the attorney group says.
June 30, 2025
SEC in Talks to Raise AUM Threshold for Advisor RegistrationDiscussions are happening between the SEC and the states, sources say.
June 27, 2025
SEC Denies Requests to Alter More Texting SettlementsPerella Weinberg Partners and Kroll Bond Rating Agency asked the SEC to “equalize” certain settlement undertakings.
June 26, 2025
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: ProsecutorsStanley Pophal is accused of luring at least 120 investors to buy promissory notes in a $15 million scheme.