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.

House Passes Accredited Investor Bill

March 08, 2024

House Passes Accredited Investor Bill
No Changes Coming to Reg BI: SEC Chief

March 08, 2024

No Changes Coming to Reg BI: SEC Chief
New Marketing Rule, AI in SEC Examiners' Crosshairs

March 07, 2024

New Marketing Rule, AI in SEC Examiners' Crosshairs
SEC Scales Back New Pollution-Disclosure Rules

March 06, 2024

SEC Scales Back New Pollution-Disclosure Rules
Ameriprise Braces for $50M SEC Fine Over Electronic Messages

March 01, 2024

Ameriprise Braces for $50M SEC Fine Over Electronic Messages
Senators Introduce E-Delivery Bill

February 29, 2024

Senators Introduce E-Delivery Bill
SEC Investment Management Director Steps Down

February 28, 2024

SEC Investment Management Director Steps Down