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.
Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC Abuses
By Nicola M. White and Bailey LipschultzThe firm, led by Howard Lutnick, misled investors in two blank-check firms, the regulator says.
December 11, 2024
Expect Dramatic Enforcement Changes in 2025: SEC RoundupLegal experts discuss their views on how 2025 might shape up.
December 10, 2024
Ex- Broker Settles SEC Fraud, Reg BI Charges for $2MChristopher Booth Kennedy has agreed to pay more than $2 million to settle the charges.
December 10, 2024
8 Pros and Cons of Mandatory Arbitration for RIAsThe process can be more timely and cost -effective for dispute resolution, but it also has some downsides.
December 09, 2024
Morgan Stanley to Pay $15M Over Advisors Who Stole Millions From Clients: SECThe firm failed to monitor reps' wire and externally initiated ACH transfers, the SEC said.
December 06, 2024
Trump's SEC Pick Criticized Bank Regulators' Efforts to Expand ScopePaul Atkins told them to stop trying to oversee solvency at life and annuity issuers and asset managers.
December 05, 2024
TD Suspends Growth Guidance in Wake of Historic SettlementAsked if the bank would consider U.S. divestitures, its CEO said “everything is on the table.”
December 04, 2024
Trump Picks Paul Atkins to Head SECAtkins, CEO of Patomak Global Partners in Washington, is a former SEC commissioner.