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.
Court Upholds SEC Texting Settlement Against Apex Clearing
By Melanie WaddellA federal appeals court has denied a petition by Apex Clearing Corp. to modify the $6 million SEC settlement terms.
August 20, 2026
Franklin Plans to Push Tokenized Assets Into Traditional FundsThe firm is aiming to use its tokenized money-market fund inside ETFs and mutual funds, after SEC approval.
August 18, 2026
SEC Proposes Some Registration Exemptions for Crypto OfferingsOfferings up to $5 million would be exempted for four years and offerings up to $75 million would be exempt for 12 months.
August 17, 2026
FINRA Moves to Strengthen Fraud Rules for SeniorsThe BD regulator has sent three investor protection proposals to the SEC for approval.
August 17, 2026
Advisor Gets 20-Year Sentence in Georgia's Biggest-Ever Ponzi SchemeTodd Burkhalter and others scammed nearly 4,000 investors out of about $380 million.
August 17, 2026
What the Forbes Fiasco Means for the Future of Advisor RankingsThere are other ways to identify top advisors, an industry executive says.
August 14, 2026
SEC Prepares to Ease Rule on Advisors' Political DonationsThe rule restricts investment advisors from working for public pension funds if they've donated to state and local officials.
August 11, 2026
SEC Poised to Unveil Major Crypto Plans as Clarity Act StallsThe regulator plans to hold an open meeting Friday "to create a tailored offering regime" involving crypto assets.