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 to Remove Regional Directors: Report
By Melanie WaddellThe SEC told directors across its 10 regional offices that their roles will be eliminated, Reuters says.
February 18, 2025
SEC Fines One Oak Capital, Rep Over Account ConversionsThe firm failed to disclose that conversions from brokerage to advisory accounts would result in higher fees.
January 31, 2025
Advisor Pleads Guilty to Taking $17M From Clients, Including His AuntScott Mason, former Rubicon Wealth Management president, could face up to 80 years in prison.
January 31, 2025
Father-Son Lifetime Bar Suit Heats Up: SEC RoundupFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
January 21, 2025
SEC Launches Crypto Task ForceThe group will be led by Commissioner Hester Peirce, nicknamed “Crypto Mom” by the industry.
January 21, 2025
Digital Assets, Taxes, Regulatory Pause Top New Year Focus: SIFMAThe group will advocate for maintaining tax-exempt status for municipal securities, according to CEO Ken Bentsen.
January 21, 2025
Trump Names Mark Uyeda as Acting SEC ChairmanRepublican Commissioner Mark Uyeda will serve as acting chairman until the Senate confirms Paul Atkins.