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.
Bharara Once Jailed Wall Street Pros. Now He Helps Them Avoid Prison
By Sonali BasakWhen firms see enforcement actions, they should move to ensure they're "not going to be in the same position," he says.
February 09, 2024
SEC Hits 16 Firms With $81M in Texting FinesThe firms agreed to pay the SEC combined civil penalties of more than $81 million.
February 07, 2024
The New Spot Bitcoin ETFs Aren't Actually ETFsThe misnomer has caused some confusion among both investors and financial professionals.
February 06, 2024
New Bill Would Block SEC Predictive Data Analytics RuleThe Protecting Innovation in Investment Act would prevent SEC from finalizing, implementing or enforcing the controversial rule.
January 30, 2024
New FSI Report Takes On 'Regulation by Enforcement'The SEC's 12b-1 fee crackdown was an example of regulation by enforcement, the group says.
January 26, 2024
Planner Accused of Buying House With $2M in Client FundsThe unregistered planner and an investment advisor received a cease-and-desist order in Indiana.
January 25, 2024
Debate: Does the Approval of Spot Bitcoin ETFs Help the Average Investor?Our experts debate whether the new funds increase or decrease the risks around bitcoin investing.
January 24, 2024
A Thank-You Note to Gary Gensler? You Bet.I'm sure the SEC chairman and I aren't done arguing, but the spot bitcoin ETFs' approval deserves applause.