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.
Trump Pick for SEC Faces Sharp Conflict-of-Interest Scrutiny
By Lydia Beyoud and Nicola M. WhiteHe told lawmakers he'd work on “clear rules of the road” for Wall Street and digital-asset firms.
March 21, 2025
Is the MSRB Unconstitutional? — SEC RoundupThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
March 21, 2025
Expect a Significant Shift Under a Paul Atkins SECThe next four years will present a host of new regulatory policies for advisors to understand and implement.
March 20, 2025
Cambridge to Pay $15M Over Revenue Sharing, Wrap Account ConflictsThe firm will pay $10 million in disgorgement, $3 million in interest and a $1.8 million SEC fine.
March 20, 2025
SEC Releases New Marketing Rule FAQs on PerformanceThe updated guidance answers questions on advertising extracted performance and portfolio characteristics like Sharpe ratios and yields.
March 18, 2025
SEC to Speed Review of Funds With ETF Share ClassesThe SEC has received more than 50 applications for these products, collectively representing trillions in AUM.
March 18, 2025
Acting SEC Head Remakes Agency Even Before Trump Pick ConfirmedMark Uyeda's moves signal a policy U-turn that will be more dramatic than during the Trump’s first term.
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.