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.
Short Seller Challenges SEC on Free Speech: SEC Roundup
By Nicolas Morgan and Tom ZaccaroAndrew Left and his attorney are seeking regulatory clarity on an issue with First Amendment implications.
February 28, 2025
SEC Staff Says Memecoins Are Like Collectibles, Not SecuritiesSellers do not need to register with the SEC, and buyers are not protected by securities laws.
February 25, 2025
SEC to Remove Regional Directors: ReportThe SEC told directors across its 10 regional offices that their roles will be eliminated, Reuters says.
February 24, 2025
Advisor Tried to Threaten Witnesses, Bribe Officials in His Fraud Case: DOJAdam Kaplan told an associate to leave one victim "peeing blood / missing teeth," prosecutors say.
February 24, 2025
Robinhood Says SEC Closed Crypto Probe Without Any EnforcementThe firm said last year it had received a Wells notice, indicating an action was coming.
February 18, 2025
SEC Fines One Oak Capital, Rep Over Account ConversionsThe firm failed to disclose that conversions from brokerage to advisory accounts would result in higher fees.
January 31, 2025
Advisor Pleads Guilty to Taking $17M From Clients, Including His AuntScott Mason, former Rubicon Wealth Management president, could face up to 80 years in prison.