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.
'A Slap in the Face': Groups Urge SEC to Keep Quarterly Reporting
By Melanie WaddellBetter Markets and CFA Institute suggest that the agency should reconsider allowing semiannual updates by publicly traded companies.
July 01, 2026
House Panel Advances SEC Restructuring BillThe legislation would require the agency to review major rules once implemented and reduce offices.
June 30, 2026
SEC to Conduct Broad Enforcement ReviewChair Paul Atkins says the agency is "redirecting resources toward the types of misconduct that inflict the greatest harm."
June 30, 2026
SEC Mulls New ETF Rules as $16T Boom Disrupts Status QuoThe SEC is signaling a potential rethink of how it oversees ETFs after a wave prediction-market ETF filings.
June 29, 2026
Merrill to Pay $7.5M for Failing to File Suspicious Activity ReportsMerrill failed to investigate certain types of events under a BofA risk scoring system, the SEC said.
June 29, 2026
RIA Must Pay SEC $75K Over Custody Rule ViolationsNortheast Financial Group failed to conduct financial statement audits of private funds that the firm advised.
June 29, 2026
Supreme Court Rejects Bid to Review SEC's Rescinded 'Gag Rule'The now-rescinded SEC policy forced people and companies settling enforcement cases to never publicly criticize or contest SEC claims.
June 25, 2026
Two Sales Agents Settle With SEC in Alleged $56M Ponzi SchemeOne raised millions through a purported family office, while the other promoted fraudulent notes on his radio show, the SEC says.