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.
Supreme Court Curbs SEC's In-House Judges in Fraud Cases
By Greg StohrThe 6-3 decision could reduce the agency's leverage to extract high-dollar settlements.
June 21, 2024
What the RIA Industry Looks Like Now, in 4 ChartsThe number of RIAs continues to grow as well as their AUM, an IAA and COMPLY report finds.
June 21, 2024
More SEC Rules in Peril With Private Fund Rule StrikedownTwo of the SEC's main rulemaking statutes hang in the balance after the recent Fifth Circuit decision.
June 17, 2024
SEC's Crypto Enforcement Chief Steps DownHirsch made the announcement early Monday morning in a LinkedIn post.
June 14, 2024
SEC Hits RIA With $100K Marketing Rule FineTwenty Acre Capital misled investors by presenting performance returns experienced by a single investor, the SEC says.
June 14, 2024
Court Adopts SEC's Expansive View of 'Dealer': SEC RoundupSEC's rationale threatens to ensnare unsuspecting private funds, family offices and private investment in public equity (PIPE) investors.
June 12, 2024
16 Biggest Fines in SEC's Texting CrackdownThe texting sweep has been raging for over two years, with more firms expected to face fines.
June 06, 2024
Ex-Broker Charged With Bilking at Least 17 Clients in $2.7M FraudJared Dean Eakes gained access to the clients by buying books of business under false pretenses, prosecutors say.