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 Seeks to Allow Challenges to Suspensions, Bars

June 11, 2025

FINRA Seeks to Allow Challenges to Suspensions, Bars
Fired Edward Jones Advisor Wins a Cleanup of His Record

June 10, 2025

Fired Edward Jones Advisor Wins a Cleanup of His Record
SEC Investment Management Director to Step Down

June 10, 2025

SEC Investment Management Director to Step Down
SEC Says Advisor Defrauded Clients on Fees

June 06, 2025

SEC Says Advisor Defrauded Clients on Fees
Accredited Investor Qualification Bill Reemerges

June 05, 2025

Accredited Investor Qualification Bill Reemerges
Bill Advancing in Congress Creates Senior Fraud Task Force at SEC

June 04, 2025

Bill Advancing in Congress Creates Senior Fraud Task Force at SEC
Senators Re-Introduce E-Delivery Bill

June 03, 2025

Senators Re-Introduce E-Delivery Bill