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.
Sen. Warren Presses SEC Chair on Consulting Firm Sale
By Melanie WaddellPaul Atkins led Patomak Global Partners as founder and CEO, which included clients regulated by the SEC.
July 30, 2025
Cracks in the CAT: Court Rules Against SEC’s Massive Surveillance Tool — SEC RoundupThe SEC’s Consolidated Audit Trail just got a major reality check from the 11th Circuit Court of Appeals.
July 29, 2025
In Rare Move, SEC Overturns a FINRA Bar Over Test-TakingAn SEC decision to reduce the rep's bar to a suspension is raising eyebrows.
July 28, 2025
FINRA Takes a Hard Look at Its Enforcement ProgramThe review, conducted with outside experts, is aiming for "meaningful, common-sense improvements."
July 28, 2025
Citadel Securities Wins Case on SEC Audit Trail FundingAn appeals court invalidated the funding plan for a database that would've cost Wall Street billions in fees.
July 25, 2025
Advisor Charged With Conning Venezuelans, Others in $94M Ponzi SchemeSeparately, the SEC accused Andrew Jacobus of swindling clergy and Catholic groups of $3.2 million.
July 23, 2025
House Passes 2 SEC BillsUnder the bills, the SEC would create a senior investor task force and update its small business definition.
July 22, 2025
Former Broker Accused of Running $9.5M Ponzi SchemeThe former broker purportedly retired after a 2014 suspension but kept soliciting investments, fraudulently, prosecutors allege.