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.
What RIAs Should Know About Data-Based Marketing
By John ManganaroAsset managers and investment banks use data-driven marketing to great effect. Experts say RIAs can do the same.
September 20, 2024
SEC Fines Firm for Not Inspecting AdvisorsJordan/Zalaznick Advisers failed to spot-check the books and records or conduct inspections of advisors it supervised.
September 19, 2024
Biblical ETF Firm Misrepresented Its Investing Strategy: SECThe SEC fined Inspire Investing $300,000, saying it didn't follow its own screening criteria.
September 18, 2024
EF Hutton Says Its Fired CEO Stole MillionsA lawsuit alleges Joseph Rallo used firm money for lavish personal expenses, including IV drips to treat hangovers.
September 18, 2024
SEC Hits First Horizon With $325,000 Reg BI FineThe charges relate to First Horizon's recommendations of structured notes after its merger with IberiaBank.
September 17, 2024
SEC Texting Sweep Hits 12 Muni AdvisorsThe advisors agreed to pay more than $1.3 million for failure to preserve off-channel communications.
September 12, 2024
SEC Charges Pastor-Turned-Advisor With $2.4M FraudThe former advisor sold phony promissory notes to Christian clients, the SEC alleges.
September 12, 2024
SEC Investor Advisory Committee Gets New Members, Tees Up 'Best Interest' DebateA panel will discuss when financial professionals are "investment advice fiduciaries"; six new members joined the committee.