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.
At Schwab, Number of 'Small' Advisors Would Triple Under SEC Plan
By Melanie WaddellMore than 14,700 firms out of 16,000 in Schwab's network would qualify as a small business.
March 10, 2026
Wall Street Regulators Seek More Enforcement, Exam CoordinationThe SEC and the CFTC plan to coordinate examinations and enforcement for businesses that fall on both agencies' turf.
March 09, 2026
AI Is Reshaping Advisor Exams: SEC RoundupRegLabs AI founder Stan Yakov explores how AI is changing exams and enforcement — and what advisors need to know.
March 06, 2026
Wall Street Regulators Discuss Moving Into Same Building ComplexThe talks involve moving the CFTC into the same area where the SEC is now based near Union Station.
March 05, 2026
FINRA to Publish Its Enforcement Manual — a FirstThe announcement by enforcement head Bill St. Louis was discussed during a House hearing Thursday.
March 05, 2026
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD AmeritradeA federal grand jury returned an 11-count indictment against Andrew Komarow.
March 04, 2026
Ex-Morgan Stanley Advisor Convicted of Defrauding 3 NBA PlayersDarryl Cohen cheated the pro athletes out of more than $5 million, according to prosecutors.
March 03, 2026
United Planners Consolidates Its Compliance, Cybersecurity FunctionsIt's using the regtech tool SurgeONE.ai, which helps advisors stay ahead of regulatory exams.