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.
SEC to Restructure Regional Offices
By Nicola M. WhiteThe change impacts 10 locations and will become effective April 9.
March 31, 2025
Musk’s DOGE Staffers Arrive at SEC to Hunt for Spending CutsSEC staff were instructed to treat Musk advisors as internal employees, according to an email.
March 27, 2025
FINRA Orders Firm Expelled After Chief Justice Denies Emergency ClaimThe expulsion of Alpine Securities, which is challenging FINRA's constitutionality, won't take effect unless the SEC upholds it.
March 27, 2025
Trump Pick for SEC Faces Sharp Conflict-of-Interest ScrutinyHe told lawmakers he'd work on “clear rules of the road” for Wall Street and digital-asset firms.
March 25, 2025
SEC Chair Nominee, Spouse Worth at Least $327MIf confirmed, Paul Atkins could become the wealthiest SEC chair in recent decades.
March 24, 2025
SEC to Lose About 500 Staffers to Buyout, Resignation OffersThe number may climb even higher as additional people accept the buyout ahead of Friday’s deadline.
March 21, 2025
Is the MSRB Unconstitutional? — SEC RoundupThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
March 21, 2025
Expect a Significant Shift Under a Paul Atkins SECThe next four years will present a host of new regulatory policies for advisors to understand and implement.