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 Staff Says Memecoins Are Like Collectibles, Not Securities
By Nicola M. WhiteSellers do not need to register with the SEC, and buyers are not protected by securities laws.
February 24, 2025
Robinhood Says SEC Closed Crypto Probe Without Any EnforcementThe firm said last year it had received a Wells notice, indicating an action was coming.
February 18, 2025
SEC Fines One Oak Capital, Rep Over Account ConversionsThe firm failed to disclose that conversions from brokerage to advisory accounts would result in higher fees.
January 31, 2025
Advisor Pleads Guilty to Taking $17M From Clients, Including His AuntScott Mason, former Rubicon Wealth Management president, could face up to 80 years in prison.
January 31, 2025
Father-Son Lifetime Bar Suit Heats Up: SEC RoundupFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
January 21, 2025
SEC Launches Crypto Task ForceThe group will be led by Commissioner Hester Peirce, nicknamed “Crypto Mom” by the industry.
January 21, 2025
Digital Assets, Taxes, Regulatory Pause Top New Year Focus: SIFMAThe group will advocate for maintaining tax-exempt status for municipal securities, according to CEO Ken Bentsen.