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 Releases New Marketing Rule FAQs on Performance
By Melanie WaddellThe updated guidance answers questions on advertising extracted performance and portfolio characteristics like Sharpe ratios and yields.
March 07, 2025
SEC to Release New FAQs on Marketing RuleThe agency is looking at critical questions related to performance, says the SEC's investment management head.
March 06, 2025
SEC’s Uyeda Expects Slowdown in Rulemaking After ‘Ambitious’ Biden EraThe agency has dropped or paused 10 cases against crypto firms and signaled it won't pursue regulation by enforcement.
March 04, 2025
SEC May Close Offices in Philadelphia, Los AngelesThe moves are part of a General Services Administration plan to cut government office space and related costs.
March 04, 2025
Short Seller Challenges SEC on Free Speech: SEC RoundupAndrew Left and his attorney are seeking regulatory clarity on an issue with First Amendment implications.
March 03, 2025
SEC Dangles $50K Incentive for Employees to Resign or RetireThe voluntary separation incentive, or voluntary early retirement program, has a March 21 deadline.
February 28, 2025
State Street, Apollo’s Private Credit ETF Raises SEC ConcernThe SEC asked the firms for more information in a letter Thursday, expressing worry on the fund’s liquidity.
February 28, 2025
SEC Staff Says Memecoins Are Like Collectibles, Not SecuritiesSellers do not need to register with the SEC, and buyers are not protected by securities laws.