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 SEC Risk Alert Points to 5 Marketing Rule Trouble Spots
By Melanie WaddellThe alert lists compliance shortfalls advisors should fix before examiners come knocking.
April 05, 2024
Ex-Ameriprise Advisor Awaits Sentencing in $1.2M Fraud CaseThe Texas-based planner pleaded guilty to defrauding clients; she used money to buy a house and shotgun.
April 04, 2024
SEC Hits RIA With $6.5M Texting FineSenvest employees communicated about company business internally and externally using personal texting platforms.
April 03, 2024
Commonwealth Must Pay SEC $93M Over Revenue SharingCEO Wayne Bloom said the firm is "exploring all options to continue to defend our position."
April 03, 2024
Reg BI to Be 2025 SEC Exam PriorityThe SEC is issuing more Risk Alerts and releasing its priorities early, the agency's exam director said Tuesday.
April 02, 2024
Ex-Advisor Sentenced to 4 Years in Prison for $4.7M EmbezzlementChristopher Turean used client funds to gamble and for a home equity loan, the Department of Justice said.
April 02, 2024
The SEC Is 'Scaring People Off': Hester PeirceCulture at the top of the agency has changed, affecting how it engages the public, the commissioner said.
March 29, 2024
Court Tackles SEC Authority to Regulate Private Funds: SEC RoundupThe judges seemed interested in saving some of the rules even if they vacate others, IAA's Bernstein relays.