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.
Advisor on FBI's 'Most Wanted' List Arrested on Fraud Charges
By Dinah Wisenberg BrinAuthorities say William Jack Berg defrauded his clients, using their $1.5 million for his own benefit.
April 04, 2024
SEC Hits RIA With $6.5M Texting FineSenvest employees communicated about company business internally and externally using personal texting platforms.
April 03, 2024
Commonwealth Must Pay SEC $93M Over Revenue SharingCEO Wayne Bloom said the firm is "exploring all options to continue to defend our position."
April 03, 2024
Reg BI to Be 2025 SEC Exam PriorityThe SEC is issuing more Risk Alerts and releasing its priorities early, the agency's exam director said Tuesday.
April 02, 2024
Ex-Advisor Sentenced to 4 Years in Prison for $4.7M EmbezzlementChristopher Turean used client funds to gamble and for a home equity loan, the Department of Justice said.
April 02, 2024
The SEC Is 'Scaring People Off': Hester PeirceCulture at the top of the agency has changed, affecting how it engages the public, the commissioner said.
March 29, 2024
Court Tackles SEC Authority to Regulate Private Funds: SEC RoundupThe judges seemed interested in saving some of the rules even if they vacate others, IAA's Bernstein relays.
March 28, 2024
Guardian Unveils Its First RILA, After Dialogue With SECThe insurer added warnings about maximum losses and the possibility of index changes.