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.
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
By Dinah Wisenberg BrinPlaintiffs will get a better deal under an SEC settlement, the judge found.
May 19, 2025
Advisors Must Prepare for Where Crypto Is HeadedAs the tone changes toward the digital currency, strong compliance frameworks have never been more essential.
May 19, 2025
SEC to Review Trade Data CollectionThe CAT system has gotten pushback over costs and security risks, SEC chairman Paul Atkins says.
May 16, 2025
New Bill Would Require SEC to Update 'Small Entity' DefinitionRaising the threshold, currently $25 million in AUM, would give small RIAs special consideration in federal rulemaking.
May 08, 2025
Wall Street Brokers Risk Losing Billions in Fees on SEC ShiftA potential regulatory shift in favor of the ETF industry is expected to shake up the business models.
April 28, 2025
Retiree Gets Jail for Role in $47M Insider Trading SchemeThe Oregon resident conspired with a Nuveen trader, now serving a six-year sentence, a court ruled.
April 25, 2025
Ray of Hope Emerges for 'Forever Bars': SEC RoundupIn four separate cases, the SEC has granted applications filed by barred professionals seeking to resume working.
April 24, 2025
Short Seller Loses Bid to Toss SEC Fraud CaseA lawsuit accuses Andrew Left of committing fraud through stock trades, social media posts and research reports.