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.
Van Eck to Pay SEC $1.75M Over BUZZ ETF Launch
By Melanie WaddellVan Eck failed to disclose an influencer's planned involvement and the sliding licensing fee structure, the SEC said.
February 13, 2024
Treasury Releases AML Rule for AdvisorsThe proposed rule would require RIAs to implement anti-money laundering policies and file suspicious activity reports.
February 12, 2024
Bharara Once Jailed Wall Street Pros. Now He Helps Them Avoid PrisonWhen firms see enforcement actions, they should move to ensure they're "not going to be in the same position," he says.
February 09, 2024
These Controversial SEC Rules Are Likely to Get Passed This YearThe regulator adopted 24 rules in 2023 and is pressing on at a pace that's causing concern.
February 09, 2024
FINRA Fines Current, Former LPL Advisors Over False SignaturesThe advisors both agreed to a fine and suspension.
February 09, 2024
SEC Hits 16 Firms With $81M in Texting FinesThe firms agreed to pay the SEC combined civil penalties of more than $81 million.
February 07, 2024
The New Spot Bitcoin ETFs Aren't Actually ETFsThe misnomer has caused some confusion among both investors and financial professionals.
February 06, 2024
New Bill Would Block SEC Predictive Data Analytics RuleThe Protecting Innovation in Investment Act would prevent SEC from finalizing, implementing or enforcing the controversial rule.