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.
Cambridge to Pay $15M Over Revenue Sharing, Wrap Account Conflicts
By Melanie WaddellThe firm will pay $10 million in disgorgement, $3 million in interest and a $1.8 million SEC fine.
March 18, 2025
Acting SEC Head Remakes Agency Even Before Trump Pick ConfirmedMark Uyeda's moves signal a policy U-turn that will be more dramatic than during the Trump’s first term.
March 07, 2025
SEC to Release New FAQs on Marketing RuleThe agency is looking at critical questions related to performance, says the SEC's investment management head.
March 06, 2025
SEC’s Uyeda Expects Slowdown in Rulemaking After ‘Ambitious’ Biden EraThe agency has dropped or paused 10 cases against crypto firms and signaled it won't pursue regulation by enforcement.
March 04, 2025
SEC May Close Offices in Philadelphia, Los AngelesThe moves are part of a General Services Administration plan to cut government office space and related costs.
March 04, 2025
Short Seller Challenges SEC on Free Speech: SEC RoundupAndrew Left and his attorney are seeking regulatory clarity on an issue with First Amendment implications.
March 03, 2025
SEC Dangles $50K Incentive for Employees to Resign or RetireThe voluntary separation incentive, or voluntary early retirement program, has a March 21 deadline.
February 28, 2025
State Street, Apollo’s Private Credit ETF Raises SEC ConcernThe SEC asked the firms for more information in a letter Thursday, expressing worry on the fund’s liquidity.