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.
Raymond James Nears $50M SEC Settlement Over Texting Issues
By Dinah Wisenberg BrinThe broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep.
August 09, 2024
Supreme Court Ruling, Criminal Trial Shake Up Insider Trading: SEC RoundupThe attorneys unpack how recent developments could affect enforcement around planned insider sales of company stock.
August 08, 2024
Advisors' Biggest Problem With the SEC's Marketing RuleA new survey finds more than a third of firms are unclear on the meaning of one key term.
August 07, 2024
SEC Probes Morgan Stanley, Wells Fargo Over Cash Sweep AccountsThe disclosures come as several firms face lawsuits saying they raked in profits while paying miserly interest rates.
August 06, 2024
Morgan Stanley Says SEC Seeks Info On Cash Balance SweepsThe wirehouse has been speaking with the SEC and responding to its requests since April, it disclosed Monday.
August 02, 2024
As SEC Onsite Exams Hit Fever Pitch, Here's What RIAs Need to KnowTo prepare, firms should review their compliance programs and conduct mock SEC interviews with key staff.
July 31, 2024
Firm Violated Reg BI With Risky Options Strategy: SECWestern International Securities was fined $140,000 for letting a former rep day trade options in clients' accounts.
July 30, 2024
Ameriprise and Wells Fargo Sued Over Low Interest on Client CashThe lawsuits follow similar client complaints against LPL Financial and Morgan Stanley.