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 Names New Investment Management Director
By Melanie WaddellBrian Daly, a partner at Akin Gump Strauss Hauer & Feld, will replace Natasha Greiner, who departs July 4.
June 11, 2025
FINRA Seeks to Allow Challenges to Suspensions, BarsThe rule change would let reps and BDs request relief from the SEC at FINRA's discretion.
June 10, 2025
Fired Edward Jones Advisor Wins a Cleanup of His RecordThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.
June 10, 2025
SEC Investment Management Director to Step DownNatasha Vij Greiner will depart after 23 years at the agency.
June 06, 2025
SEC Says Advisor Defrauded Clients on FeesDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.
June 05, 2025
Accredited Investor Qualification Bill ReemergesThe bill would update the list of certifications that would give an investor wider access to private investments.
June 04, 2025
Bill Advancing in Congress Creates Senior Fraud Task Force at SECThe Senior Security Act passed the House Financial Services Committee and would help strengthen protections against financial predators.
June 03, 2025
Senators Re-Introduce E-Delivery BillThe legislation requires the SEC to write a rule allowing financial firms to deliver documents in digital format.