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.
State Street, Apollo’s Private Credit ETF Raises SEC Concern
By Carmen Arroyo and Silas BrownThe SEC asked the firms for more information in a letter Thursday, expressing worry on the fund’s liquidity.
February 24, 2025
Advisor Tried to Threaten Witnesses, Bribe Officials in His Fraud Case: DOJAdam Kaplan told an associate to leave one victim "peeing blood / missing teeth," prosecutors say.
February 24, 2025
Robinhood Says SEC Closed Crypto Probe Without Any EnforcementThe firm said last year it had received a Wells notice, indicating an action was coming.
February 18, 2025
SEC Fines One Oak Capital, Rep Over Account ConversionsThe firm failed to disclose that conversions from brokerage to advisory accounts would result in higher fees.
January 31, 2025
Advisor Pleads Guilty to Taking $17M From Clients, Including His AuntScott Mason, former Rubicon Wealth Management president, could face up to 80 years in prison.
January 31, 2025
Father-Son Lifetime Bar Suit Heats Up: SEC RoundupFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
January 21, 2025
SEC Launches Crypto Task ForceThe group will be led by Commissioner Hester Peirce, nicknamed “Crypto Mom” by the industry.