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.
Planner Accused of Buying House With $2M in Client Funds
By Dinah Wisenberg BrinThe unregistered planner and an investment advisor received a cease-and-desist order in Indiana.
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.
January 02, 2024
SEC Approval of Bitcoin ETFs Could Come This WeekMy prediction: They will collectively represent the most successful ETF launch in history. But don't get too excited.