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.
Grayscale: SEC Broke the Law in Bitcoin ETF Denial
By Melanie WaddellThe SEC in June denied Grayscale's application to turn its bitcoin trust into a spot bitcoin ETF.
October 07, 2022
Technical Glitch Causes SEC to Reopen Comment PeriodsEleven rule proposals and one request for comment have been reopened.
October 07, 2022
Ex-Broker Found Guilty of Fraud Related to Murder of ClientKeith Todd Ashley was charged with murder while under investigation in a suspected fraud scheme.
October 04, 2022
Will NASAA's REIT Plan Sync With Reg BI? — SEC RoundupAnya Coverman of the Institute for Portfolio Alternatives discusses the two competing models of regulating nontraded REITs.
October 03, 2022
7 Advertising Don'ts Under New SEC Marketing RuleThe SEC's new Marketing Rule has some prohibitions that affect all RIA ads, testimonials and endorsements.
October 03, 2022
Kim Kardashian to Pay $1.3M to SEC for Crypto ToutingHer 2021 Instagram post "may have been the financial promotion with the single biggest audience reach in history," said one regulator.
September 30, 2022
SEC Smites Pastor of Fake Church Over Ponzi SchemeThe Church for the Healthy Self held no religious services but ran an investment program promising 12% returns.
September 27, 2022
16 Firms to Pay $2B Over Text Message ViolationsFirms including BofA Securities, Goldman, Morgan Stanley and UBS failed to preserve messages on platforms like WhatsApp, regulators said.