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.
SEC Warns Advisors on Conflicts in Cash Management, Fees
By Melanie WaddellA new risk alert points to deficiencies found during advisor exams.
June 04, 2026
Supreme Court Bolsters SEC's Power to Recoup Illegal GainsThe justices ruled unanimously Thursday that the regulator doesn't have to show investor harm to win disgorgement.
June 03, 2026
Number of RIAs Sets New Record: ReportWhile the number of RIAs grew in 2025, the regulatory environment is shifting under the SEC.
June 02, 2026
SEC Adds 4 Members to Investor Advisory CommitteeThe newcomers include Sheldon Ray, a former senior vice president at Raymond James & Associates.
June 02, 2026
Bluespring Wealth Launches RIABluespring Wealth Management is intended to be a centralized model to handle compliance and other functions, Pradeep Jayaraman says.
May 29, 2026
SEC Moves to Scrap Biden-Era Rule on Climate Risk DisclosuresThe 2024 rules, which never went into effect, were "unsound as a matter of policy," the SEC said Friday.
May 26, 2026
Ex-Broker Pleads Guilty to $9.5M Ponzi SchemeEdwin Emmett Lickiss Jr., 78, admitted to defrauding investors over 26 years.
May 22, 2026
SEC Delays Plan Allowing for Crypto Versions of U.S. StocksThere's concern about the trading of third-party tokens set to be issued without the consent of the public companies involved.