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.
JPMorgan to Pay $18M Over Whistleblower Violations
By Melanie WaddellInvestor clients were asked to sign agreements and not report potential securities law violations to the SEC.
January 10, 2024
SEC's X Account Hacked to Falsely Say Bitcoin ETF ApprovedThe SEC's deadline for taking action on at least one spot bitcoin application is Wednesday.
January 09, 2024
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC RoundupFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.
January 08, 2024
Grayscale Tops Rivals With Highest Fee on Spot Bitcoin ETF"This fee war is the best possible situation for end investors," said a Bloomberg Intelligence ETF analyst.
January 02, 2024
SEC Approval of Bitcoin ETFs Could Come This WeekMy prediction: They will collectively represent the most successful ETF launch in history. But don't get too excited.
January 02, 2024
SEC Exam Coming? Use These 5 Tips to PrepareKnow what examiners are looking for and what to expect when they come calling.
December 27, 2023
6 Big Rules the SEC Finalized in 2023The rules come with an "incredibly challenging if not impossible timeline" for implementation, according to a trade group.
December 21, 2023
'Wolf of Wall Street' Jordan Belfort's New Investment Pitch Is ... Indexing?The ex-broker doesn't mince words on the SEC or the "Fee Machine Complex" but praises financial planners.