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.
Court Adopts SEC's Expansive View of 'Dealer': SEC Roundup
By Nick Morgan and Tom ZaccaroSEC's rationale threatens to ensnare unsuspecting private funds, family offices and private investment in public equity (PIPE) investors.
June 06, 2024
SEC Hit With Lawsuit Over Texting SweepA trade group says the SEC was unclear on how penalties were calculated and why it targeted certain firms.
June 05, 2024
SEC Hedge Fund Fee Disclosure Rule Struck Down by U.S. CourtThe U.S. Fifth Circuit Court of Appeals in New Orleans on Wednesday sided with the private funds industry.
June 05, 2024
Watch Out, BDs! Here's What Triggers an SEC ExamA new Risk Alert details red flags that could make BDs prime targets for examiners.
June 05, 2024
'Roaring Kitty' GameStop Trades Under Investigation in Mass.The investigation comes on top of a threat by E-Trade to ban the meme stock trader.
June 04, 2024
SEC to Shutter Salt Lake Regional OfficeThe closing of the Utah center, the agency's smallest, will reduce the number of such offices to 10.
June 04, 2024
House Spending Bill Cuts SEC Budget, Curbs CAT Data CollectionThe legislation would also block enforcement of the unpopular Staff Accounting Bulletin 121 on digital assets.
May 31, 2024
Will an Ex-Fidelity Advisor's Reg BI Suit Catch the SEC's Eye?The case could have implications for the broader financial services industry, lawyers say.