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 Align BD, Advisor Portfolio Performance Projections
By Melanie WaddellFINRA's board approved changes to its Communications With the Public rule to better align with the SEC's Marketing Rule.
June 13, 2025
SEC Names New Investment Management DirectorBrian Daly, a partner at Akin Gump Strauss Hauer & Feld, will replace Natasha Greiner, who departs July 4.
June 13, 2025
SEC Shreds Plans for 14 Major RulesThe list includes controversial proposals aimed at RIAs.
June 12, 2025
Vanguard Seeks SEC Approval to Expand Tax-Busting Fund DesignVanguard aims to use its signature dual-share class design with actively managed funds.
June 11, 2025
FINRA Seeks to Allow Challenges to Suspensions, BarsThe rule change would let reps and BDs request relief from the SEC at FINRA's discretion.
June 10, 2025
Fired Edward Jones Advisor Wins a Cleanup of His RecordThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.
June 10, 2025
SEC Investment Management Director to Step DownNatasha Vij Greiner will depart after 23 years at the agency.
June 06, 2025
SEC Says Advisor Defrauded Clients on FeesDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.