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.
4 New SEC Rules to Watch
By Melanie WaddellThe agency has proposed and adopted several "significant" new rules in the past few weeks, its Investment Management chief says.
November 22, 2022
Tom Brady, Steph Curry FTX Endorsements Probed by Texas RegulatorPayments the stars received to endorse the crypto exchange are being reviewed, along with disclosures and how accessible they were to retail investors.
November 18, 2022
SEC Orders Public Proceedings Over 'Misleading' Crypto OfferingsThe SEC is considering whether to suspend the registration of American CryptoFed DAO's Ducat and Locke tokens.
November 18, 2022
Ex-J.P. Morgan Broker Barred by FINRA After Multiple Trading ViolationsEdward L. Turley was discharged by the firm and then refused to provide testimony during a FINRA investigation.
November 15, 2022
Jury Convicts Ex-Broker Who Lived Lavish Lifestyle Instead of Paying TaxesJames Millegan concealed millions of dollars from the IRS, according to court documents.
November 15, 2022
SEC Enforcement Actions Brought in Record $6.4 Billion in 2022The number of enforcement actions jumped 9% from 2021.
November 15, 2022
Reg BI Remains Top Priority for 2023 ExamsAt the SEC's National Compliance Seminar, exam chief Richard Best gave a preview of some priorities for next year.
November 14, 2022
SEC Fines S&P Global Ratings $2.5M Over Conflicts of InterestSales and marketing considerations improperly influenced the rating of a mortgage-related transaction, the SEC said.