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.
Paul Atkins Sworn in as SEC Chair
By Melanie WaddellAtkins must now contend with DOGE, market turbulence and a slimmed-down staff.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 10, 2025
Paul Atkins Takes Helm of a Very Different SECThe new chair must grapple with turbulent markets, tariffs, DOGE on site and a slimmed-down agency.
April 10, 2025
Paul Atkins Confirmed to Lead SECThe Wall Street consultant steps into the role a week after President Trump’s sweeping tariffs unleashed market turmoil.
April 09, 2025
SEC Weighs Raising AUM Threshold for Advisor RegistrationThe move makes sense but could create headaches for midsize advisors in some states, compliance pros say.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 03, 2025
SEC Nominee Atkins Advanced by Senate Banking CommitteeIf confirmed by the Senate, Atkins is expected to rein in SEC enforcement and shape digital asset regulations.
April 02, 2025
SEC to Restructure Regional OfficesThe change impacts 10 locations and will become effective April 9.