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.
SEC Poised to Unveil Major Crypto Plans as Clarity Act Stalls
By Scott PattersonThe regulator plans to hold an open meeting Friday "to create a tailored offering regime" involving crypto assets.
August 10, 2026
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred BrokerTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.
August 06, 2026
Ex-Schwab Portfolio Manager Files Whistleblower Suit After Texting ComplaintsSabya Sinha alleges that he was terminated after reporting violations to the SEC.
August 04, 2026
Edward Jones Freezes $3M Account Under Senior Fraud RuleLarry Williams, 86, balked and moved money to Merrill Lynch, the Dallas Morning News reports.
August 03, 2026
RIA to Pay Nearly $500K for Overcharging ClientsPapamarkou Wellner Asset Management's client fees didn't match its advisory agreements or disclosure brochures, according to the SEC.
August 03, 2026
UBS to Pay $125M Over Anti-Money Laundering FailuresThe broker-dealer failed to adequately monitor customers' foreign currency wire transactions and onboarded risky clients, FinCEN finds.
July 30, 2026
PRO
AI Is Now Advisors' Top Compliance Worry. Here's What They Should Do.Eighty-five percent cite the technology as their most pressing concern, the Investment Management Compliance Testing Report finds.
July 29, 2026
What 'The Wolf of Wall Street' Left OutFBI files and interviews tell a different story about a disgraced broker in the 1990s, says Bloomberg's Jason Leopold, producer of a new docuseries.