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.
U.S. Regulators Seek More Power to Claw Back Banker Bonuses
By Katanga JohnsonThe long-delayed rules would force lender clawbacks from executives who take too much risk.
April 30, 2024
LPL Nears $50M SEC Settlement Over Messaging App UseThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.
April 29, 2024
Why Invest in Private Markets?It's possible to ride along with top-quartile funds found in multibillion-dollar institutional portfolios.
April 18, 2024
New SEC Risk Alert Points to 5 Marketing Rule Trouble SpotsThe alert lists compliance shortfalls advisors should fix before examiners come knocking.
April 16, 2024
Advisor on FBI's 'Most Wanted' List Arrested on Fraud ChargesAuthorities say William Jack Berg defrauded his clients, using their $1.5 million for his own benefit.
April 12, 2024
SEC Hits 5 RIAs With Marketing Rule FinesThe firms have agreed to pay $200,000 in combined penalties over their use of hypothetical performance in ads.
April 05, 2024
Ex-Ameriprise Advisor Awaits Sentencing in $1.2M Fraud CaseThe Texas-based planner pleaded guilty to defrauding clients; she used money to buy a house and shotgun.
April 04, 2024
SEC Hits RIA With $6.5M Texting FineSenvest employees communicated about company business internally and externally using personal texting platforms.