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.
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud Scheme
By Dinah Wisenberg BrinJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
March 27, 2025
FINRA Orders Firm Expelled After Chief Justice Denies Emergency ClaimThe expulsion of Alpine Securities, which is challenging FINRA's constitutionality, won't take effect unless the SEC upholds it.
March 27, 2025
Trump Pick for SEC Faces Sharp Conflict-of-Interest ScrutinyHe told lawmakers he'd work on “clear rules of the road” for Wall Street and digital-asset firms.
March 25, 2025
SEC Chair Nominee, Spouse Worth at Least $327MIf confirmed, Paul Atkins could become the wealthiest SEC chair in recent decades.
March 24, 2025
SEC to Lose About 500 Staffers to Buyout, Resignation OffersThe number may climb even higher as additional people accept the buyout ahead of Friday’s deadline.
March 21, 2025
Is the MSRB Unconstitutional? — SEC RoundupThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
March 21, 2025
Expect a Significant Shift Under a Paul Atkins SECThe next four years will present a host of new regulatory policies for advisors to understand and implement.
March 20, 2025
Cambridge to Pay $15M Over Revenue Sharing, Wrap Account ConflictsThe firm will pay $10 million in disgorgement, $3 million in interest and a $1.8 million SEC fine.