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.
RIA Must Pay SEC $75K Over Custody Rule Violations
By Melanie WaddellNortheast Financial Group failed to conduct financial statement audits of private funds that the firm advised.
June 25, 2026
SEC Sends E-Delivery Rule to White House for ReviewSEC Chair Paul Atkins has said he's asked agency staff to draft a "broader" e-delivery rule.
June 22, 2026
Stifel Pays $3M to Settle Claim Over Barred Broker's Structured Notes StrategyAfter a $133 million award in April, the firm faces up to 19 additional complaints tied to Chuck Roberts.
June 17, 2026
Advisors Wary of SEC's Plan to Allow Semiannual Corporate Earnings ReportsQuarterly reporting helps inform clients, but it also encourages public companies to focus on the short term.
June 15, 2026
Which Comments on New Rules Get Read? Which Get Dropped? — SEC RoundupTwo professors discuss their paper revealing whose voices are codified into law and whose are quietly discarded.
June 15, 2026
New York Tax Preparer Sentenced in $50M Ponzi SchemeMiles Burton Marshall had pleaded guilty to grand larceny, securities fraud and scheme to defraud.
June 15, 2026
Fidelity to Launch Its First Mutual Fund ETF Share ClassesThe share classes will be added to municipal income, real estate and short-term bond mutual funds.
June 12, 2026
FINRA Files to Make Remote Inspections PermanentThe regulator is also seeking approval on rules to modernize home office inspections and more flexible CE requirements.