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.
Raymond James' Profits Take $55M Hit From Fines
By Melanie WaddellThe $55 million hit was tied to the SEC's industry sweep of firms' off-channel communications.
October 18, 2023
Citadel Securities, ASA Sue SEC Over CATSEC "has overstepped its statutory authority and failed to address investor and industry concerns, leaving us no choice but to litigate," they said.
October 17, 2023
Ethereum ETFs Are Here. Is Spot Bitcoin Next?Everyone except SEC's chair seems to understand that a spot bitcoin ETF would be in investors' best interests.
October 17, 2023
SEC Commissioner Concerned About Insurers' Broadly Syndicated LoansCaroline Crenshaw worries about the possibility that insurers or other investors could pile up hidden BSL risk.
October 16, 2023
7 Top SEC Exam Priorities for 2024Exams will focus on emerging risks to investors along with perennially risky areas, the SEC said.
October 16, 2023
SEC Won't Appeal Court Decision Paving Way for Grayscale Spot Bitcoin ETFGrayscale has argued that investors would benefit from the conversion of its trust into an exchange traded fund.
October 12, 2023
FINRA's Cook: 'Mission Accomplished' With CAT DatabaseCook also signaled that paring back the amount of information collected via CAT may be warranted.
October 10, 2023
Advisors Take Note: These 8 States Have New Telemarketing LawsAdvisors risk violating not only state laws but the SEC's Marketing Rule when telemarketing their services.