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.
Massachusetts Fiduciary Rule Upheld by Top Court
By Melanie WaddellThe ruling "is a Fenway Park Red Sox grand slam home run" for investors and state regulators, said a fiduciary expert.
August 23, 2023
SEC Seeks More Comments on Controversial Custody Rule PlanThe SEC reopened the comment period for 60 days for feedback on its new private fund advisor rules.
August 21, 2023
SEC Brings First Marketing Rule Action; Firm to Pay $1MTitan Global Capital Management's violations included the misleading use of hypothetical performance metrics in ads, the SEC said.
August 18, 2023
SEC Bars Advisor for Working With Revoked Registration, Touting False DesignationThe unregistered advisor didn't tell potential clients she was only licensed to offer and sell insurance products.
August 15, 2023
New York Life Joins MOVEit Breach Notice ListOverall, the breach may have exposed the data of more than 41 million people and 677 organizations worldwide.
August 09, 2023
Who's Next in $2.5B WhatsApp Probe?Regulators have quizzed more than a dozen other firms, including BlackRock and LPL, about the use of unofficial channels.
August 08, 2023
Wall Street's New WhatsApp Fines Take Tab Past $2.5BThe penalties are tied Wells Fargo and other banks' use of unofficial communication tools to conduct business.
August 08, 2023
Wells Fargo to Pay $125M in WhatsApp CrackdownIn total, 11 firms agreed to pay penalties of $289 million to the Securities and Exchange Commission.