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.
Cetera Launches Regulatory Risk-O-Meter
By Melanie WaddellThe new resource is designed to help advisors measure and navigate developing regulatory risks.
October 22, 2024
SEC to Boost Scrutiny of AI Tools Used by Advisors, BrokersEarlier this year, the regulator fined two money managers for making allegedly bogus claims about their use of artificial intelligence.
October 22, 2024
SEC Chief Defends Texting Crackdown"Hundreds of people at dozens of firms were blowing right past" off-channel communication rules, Gary Gensler said.
October 21, 2024
Supreme Court Rejects Bid to Let President Fire Agency LeadersThe court upheld a ruling that has become a target for groups seeking to defang agencies like the SEC.
October 21, 2024
WisdomTree Hit With $4M Fine Over ESG FundsThe firm misstated that funds avoided companies involved in fossil fuels and tobacco, the SEC said.
October 21, 2024
7 Top SEC Exam Priorities for 2025In addition to core business practices, examiners will focus on new rules, emerging tech and investor data protection.
October 18, 2024
Fidelity, Russell and SEI Quizzed by DOJ as Ken Leech Probe Ramps UpMoney managers that used Western Asset Management to help invest their bond portfolios are being questioned by authorities.
October 18, 2024
SEC X Account's Alleged Hacker Arrested Over Fake Bitcoin ETF PostThe fake post, a day ahead of the approval of spot Bitcoin ETFs, caused the price of Bitcoin to surge.