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.
Marketing Rule Among 2024 Enforcement Priorities: SEC Roundup
By Nick Morgan and Tom ZaccaroFormer SEC lawyers from five different cities present advice for those looking to stay clear of the regulator.
November 20, 2023
SEC Fines Two Brokers for Reg BI ViolationsThe brokers used "frequent in-and-out trades," the regulator said.
November 16, 2023
Ramaswamy Calls for Gutting SEC, Deregulating CryptoThe Strive Asset Management chairman and 2024 Republican presidential candidate wants a 75% reduction of the federal workforce.
November 14, 2023
SEC Reports Its Second-Biggest Fine Total Ever for 2023The agency said it filed 3% more enforcement actions than in fiscal year 2022.
November 14, 2023
FINRA Moves to Allow Performance Projections in Some BD MarketingThe proposal aligns with the SEC's marketing rule for RIAs.
November 06, 2023
House Spending Bill Kills SEC Custody Rule, Curbs CAT Data CollectionThe agency would be blocked from using funds to finalize, implement or enforce a host of rules.
November 02, 2023
SEC Highlights Exam Priorities for 2024Examiners will address how advisors mitigate conflicts of interest and allocate investments to certain accounts.
October 26, 2023
Raymond James' Profits Take $55M Hit From FinesThe $55 million hit was tied to the SEC's industry sweep of firms' off-channel communications.