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.
Ex-Advisor Who Lied About Attempting Suicide Gets 3.5 Years for Bilking Client
By Dinah Wisenberg BrinThe client faced home foreclosure after the advisor failed to make mortgage payments as promised, the DOJ says.
May 13, 2024
SEC, Treasury Crime Unit Float Customer ID Rule for AdvisorsThe proposed rule is intended to fight money laundering and the financing of terrorism, said SEC Chairman Gary Gensler.
May 06, 2024
U.S. Regulators Seek More Power to Claw Back Banker BonusesThe long-delayed rules would force lender clawbacks from executives who take too much risk.
May 03, 2024
Trump Media's Accounting Firm Accused of Fraud, Fined $14MThe fraud was "massive" and affected 1,500 regulatory filings, the SEC says.
May 02, 2024
Beware of Double Jeopardy in SEC Proceedings: SEC RoundupAfter federal court litigation, the SEC may seek to bar you for the same conduct.
April 30, 2024
LPL Nears $50M SEC Settlement Over Messaging App UseThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.
April 29, 2024
Why Invest in Private Markets?It's possible to ride along with top-quartile funds found in multibillion-dollar institutional portfolios.
April 18, 2024
New SEC Risk Alert Points to 5 Marketing Rule Trouble SpotsThe alert lists compliance shortfalls advisors should fix before examiners come knocking.