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.
Robo-Advisor Ally Invest to Pay $500K Over Conflicts
By Melanie WaddellThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 20, 2026
Advisors in SEC Enforcement CrosshairsFiduciary duty breaches are a "core" focus for the agency, according to the acting director of enforcement.
March 19, 2026
'Robust Pipeline' of Rules Ahead: SEC ChiefThe primary goal is "trimming immaterial requirements that burden the market" but don't benefit investors, Atkins said Thursday.
March 17, 2026
SEC, CFTC Move to Define Which Digital Assets are SecuritiesA long-awaited "token taxonomy" carves out payment stablecoins, digital collectives and digital commodities as non-securities.
March 17, 2026
Inside the 2026 Enforcement Manual Updates: SEC RoundupA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.
March 16, 2026
At Schwab, Number of 'Small' Advisors Would Triple Under SEC PlanMore than 14,700 firms out of 16,000 in Schwab's network would qualify as a small business.
March 16, 2026
SEC Enforcement Director Resigns After 6 Months on the JobMargaret Ryan has resigned; Principal Deputy Director Sam Waldon has been named acting director.
March 11, 2026
Judge Orders SEC to Hand Over Texting Fine DataLawyer Nick Morgan called the ruling a "win for transparency and a stinging rebuke of the SEC's litigation conduct."