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.
New FSI Report Takes On 'Regulation by Enforcement'
By Melanie WaddellThe SEC's 12b-1 fee crackdown was an example of regulation by enforcement, the group says.
January 24, 2024
A Thank-You Note to Gary Gensler? You Bet.I'm sure the SEC chairman and I aren't done arguing, but the spot bitcoin ETFs' approval deserves applause.
January 16, 2024
JPMorgan to Pay $18M Over Whistleblower ViolationsInvestor clients were asked to sign agreements and not report potential securities law violations to the SEC.
January 11, 2024
Morgan Stanley Could Pay Up to $300M to Settle Trading ProbeThe yearslong investigation has focused on its employees' handling of stock sales big enough to move markets.
January 10, 2024
SEC Approves Spot Bitcoin ETFs in Crypto's BreakthroughAs a result, funds from BlackRock, Fidelity, Invesco and other firms can start trading Thursday.
January 10, 2024
SEC's X Account Hacked to Falsely Say Bitcoin ETF ApprovedThe SEC's deadline for taking action on at least one spot bitcoin application is Wednesday.
January 09, 2024
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC RoundupFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.
January 08, 2024
Grayscale Tops Rivals With Highest Fee on Spot Bitcoin ETF"This fee war is the best possible situation for end investors," said a Bloomberg Intelligence ETF analyst.