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.
$35M Ponzi Scheme Targeted Church Members: SEC
By Melanie WaddellBrent Seaman and his marketing materials touted some "25 years of running successful businesses and 'an assignment from a higher power,'" the SEC complaint states.
July 24, 2023
SEC to Vote Wednesday on Digital Nudges, Robo PlansThe agency plans to consider a plan to propose rules for RIAs and BDs on predictive data analytics.
July 20, 2023
Ponzi Schemer Who Got Trump Clemency Charged in New Fraud CaseEliyahu "Eli" Weinstein and four others were charged with defrauding more than 150 investors of $35 million.
July 19, 2023
SEC Would Add 83 Examiners With Budget BoostThe agency also plans to move the SEC headquarters in Washington to another building, Chair Gensler tells lawmakers.
July 18, 2023
CEO of ETF Managers Group Resigns Amid SEC Probe Into Cannabis FundThe investigation concerns the "alleged non-disclosure of conflicts of interest" by Samuel Masucci and the issuer of thematic ETFs.
July 14, 2023
Supreme Court to Decide Fund Manager's 10-Year SEC Fight — SEC RoundupThe SEC's in-house trial system is largely "a kangaroo court," the hedge fund principal's lawyer says.
July 14, 2023
Dimensional Seeks Tax-Friendly ETF Share Classes Pioneered by VanguardVanguard's patent on ETF share classes of mutual funds that reduce capital gains for investors expired in May.
July 14, 2023
Senate Spending Bill Pumps $14M Into Secure 2.0 ImplementationThe Senate Appropriations Committee also expressed concerns about the SEC's Investor Advisory Committee and CAT.