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 Agrees to Pay $150,000 to End Coinbase Suit Over Records
By Nicola M. WhiteThe agreement ends a two-year Freedom of Information Act legal battle between the Wall Street regulator and Coinbase.
July 16, 2026
SEC Releases New E-Delivery RuleRegulation E-Delivery would allow firms to send documents electronically without requiring investors to opt in.
July 14, 2026
PRO
How to Track Life Insurers' 'Payment in Kind' ExposurePIK is no longer about farmers paying off loans with loads of carrots; it's a key health indicator for private credit portfolios.
July 13, 2026
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A New Custody Rule Is on the SEC's Agenda. Here's What to Know.The agency plans to issue a proposed rule that would address questions raised by advisors about holding crypto.
July 10, 2026
Advisors, Take Note: SEC Rule Revamps Are on the WayThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 08, 2026
Call for FINRA to Update Document-Request Rules Draws ScrutinyThe Rule 8210-related changes, part of a larger report, would make it easier for firms to block enforcement, PIABA's president argues.
July 07, 2026
'A Slap in the Face': Groups Urge SEC to Keep Quarterly ReportingBetter Markets and CFA Institute suggest that the agency should reconsider allowing semiannual updates by publicly traded companies.
July 06, 2026
PRO
These Funds Are Quietly Gobbling Up Retirement Plan AssetsCollective investment trusts are showing up on more and more employers' plan menus. Here's what advisors should know.