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.
Here Are the Wildest Parts of Bankman-Fried's SEC Allegations
By Emily NicolleThe FTX co-founder orchestrated a massive, years-long fraud, the SEC says.
December 07, 2022
Senate Passes RILA Annuity BillThe bill would direct the SEC to create a new registration form to replace the "largely inapplicable forms" currently used.
December 06, 2022
SEC Hits Firm, CEO for Failure to File Form CRS, No Compliance PoliciesTwo Point Capital Management adopted as its written compliance policies, without any modification, a handbook published by a professional trade group.
December 05, 2022
SEC Risk Alert Highlights Firms' Identity Theft FailuresThe agency found violations that could leave customers vulnerable to identity theft and financial loss.
December 02, 2022
Ex-LPL Rep Charged With Stealing $1.3M From Client With DementiaBradley Goodbred was arrested and charged with 23 felonies.
December 02, 2022
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABAPIABA is again asking the SEC to reject FINRA's proposal to home offices as non-branch locations.
November 29, 2022
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness TamperingFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 23, 2022
4 New SEC Rules to WatchThe agency has proposed and adopted several "significant" new rules in the past few weeks, its Investment Management chief says.