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.
Ex-Wells Fargo Exec to Pay $5M to SEC for Misleading Investors
By Melanie WaddellCarrie Tolstedt publicly endorsed the bank's "cross-sell metric" while knowing it included fake accounts, the SEC said.
May 24, 2023
Couple Bilked in $29M Ponzi Scheme Sues Advisory FirmThe firm didn't supervise an advisor who paid for planes and mistresses with client money, a lawyer says.
May 22, 2023
The SEC Chair Wants to Kill Crypto. He Can't.Gary Gensler's condescending treatment of the crypto industry will merely drive innovation out of the U.S.
May 19, 2023
More Sweeps, Reg BI Cases on the WayMore Reg BI-related cases are "in the pipeline," said Christopher Kelly, FINRA's acting enforcement director.
May 19, 2023
Study Up! SEC Reg BI Bulletins Will Be Used in Exams, Compliance Pros SayThe bulletins are "essentially a roadmap" to what examiners will focus on, Commonwealth's Peggy Ho says.
May 16, 2023
Reg BI Is a 'Work in Progress': SEC ChiefSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
May 15, 2023
SEC Isn't Considering Short-Selling Ban: GenslerCritics have argued such measures are needed because recent declines in some bank stocks have little to do with a lender's outlook.
May 12, 2023
Single-Stock ETFs Get Vote of Confidence in Huge 32-Fund FilingGraniteShares is looking to double the existing lineup of single-stock funds.