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 Investment Management Director to Step Down
By Melanie WaddellNatasha Vij Greiner will depart after 23 years at the agency.
June 04, 2025
Bill Advancing in Congress Creates Senior Fraud Task Force at SECThe Senior Security Act passed the House Financial Services Committee and would help strengthen protections against financial predators.
June 03, 2025
Senators Re-Introduce E-Delivery BillThe legislation requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
May 30, 2025
RIA Growth Could Stall in 2025: ReportWhile the number of SEC-registered advisors grew in 2024, economic and other factors could shift that trend.
May 28, 2025
Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC SaysChristopher Aubin is accused of defrauding 24 investors, including two veterans he served with, out of $2.5 million.
May 28, 2025
Rush to Launch Vanguard-Style Funds Draws WarningsAdding ETF share classes to mutual funds could mean taxable gains get passed on to ETF investors.
May 22, 2025
Advisor Gets 10 Years in Prison for Stealing $2M From Elderly ClientsJulie Anne Darrah convinced clients "she would take care of them in their older years like a daughter," authorities said.
May 22, 2025
New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC RoundupFormer SEC Commissioner Troy Paredes discuss the commission's evolving approach to financial innovation and digital asset regulation.