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.
TD Suspends Growth Guidance in Wake of Historic Settlement
By Christine DobbyAsked if the bank would consider U.S. divestitures, its CEO said “everything is on the table.”
November 27, 2024
Atkins, Ex-SEC Commissioner, Could Succeed GenslerTrump is expected to make a pick in the coming days, but no decision has yet been made.
November 27, 2024
Court Strikes Down SEC Dealer Rule: SEC RoundupThe rule expanded the definition of "dealer" so that many private fund advisors would have had to register.
November 26, 2024
Robinhood’s Gallagher Drops Out of SEC Chair ConsiderationThe ex-SEC commissioner, now Robinhood's chief legal officer, said he's "committed" to the firm's millions of customers.
November 26, 2024
Leech Shunted $600M to Favored Portfolios: SEC, DOJThe former co-chief investment officer for Western Asset Management, 70, could face 20 years in prison.
November 25, 2024
SEC Sanctions Hit New High at $8.2B in 2024Marketing Rule violations resulted in settled charges against more than a dozen advisors.
November 21, 2024
Quarter of SEC Actions Dealt With Off-Channel Communications in 2024: ReportThe total number of enforcement actions dropped 12% from fiscal 2023, a new study finds.
November 21, 2024
SEC Chair Gensler to Step DownHis exit on Jan. 20 means the SEC could be led by either Hester Peirce or Mark Uyeda.