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.
Digital Assets, Taxes, Regulatory Pause Top New Year Focus: SIFMA
By Melanie WaddellThe group will advocate for maintaining tax-exempt status for municipal securities, according to CEO Ken Bentsen.
January 17, 2025
Vanguard to Pay $106M to Settle Charges Over Misleading StatementsThe settlement is tied to tax bills some clients received after others switched to lower-cost funds.
January 17, 2025
SEC Fines LPL $18M for AML ViolationsLPL failed to close or restrict thousands of prohibited high-risk accounts, according to the SEC.
January 15, 2025
Musk Accused by SEC of Cheating Twitter Investors Out of MillionsThe billionaire cheated Twitter shareholders out of more than $150 million, the SEC alleges.
January 13, 2025
Robinhood to Pay $45M to Settle SEC ClaimsRobinhood "failed to observe a broad array of significant regulatory requirements," the SEC says.
January 13, 2025
Schwab, 11 Other Firms to Pay $63M in SEC Texting CrackdownEmployees used personal devices to communicate internally and externally by text messages, the SEC said.
January 10, 2025
Ex-WWE CEO Vince McMahon to Settle SEC Case for $1.7MMcMahon hid hush-money settlements he negotiated, leading to incorrect financial statements, the SEC says.
January 02, 2025
RIA to Pay $115K Fine Over Custody Rule ViolationsDriftwood Advisors failed to timely distribute audited statements to investors in pooled vehicles it advised, the SEC states.