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.
Ex-Coinbase Manager Arrested in Crypto Insider-Trading Case
By Allyson Versprille, Silla Brush, Lydia Beyoud and Greg FarrellIshan Wahi allegedly tipped off both his brother and a friend when tokens were about to be listed on the crypto exchange.
July 19, 2022
More Reg BI Actions May Be Ahead: SEC Enforcement ChiefExams related to Reg BI have "yielded a number of referrals," Gurbir Grewal tells lawmakers.
July 18, 2022
Equitable to Pay $50M for Misleading Teachers on Annuity FeesEquitable's account statements provided misleading fee info to about 1.4 million variable annuity investors, according to the SEC.
July 18, 2022
BofA Expected to Pay $200M for Personal Device MisuseThe anticipated fine follows a disclosure by Morgan Stanley last week that it faces a similar penalty stemming from the investigation.
July 15, 2022
15 Hottest Compliance Topics for Advisors in 2022Here's what's on advisory firms' minds now, according to the Investment Adviser Association.
July 15, 2022
Wall Street Texting Habit Sticks Banks With Rare $1B BillRegulators have zoomed in on Bank of America, Citigroup, Goldman Sachs, JPMorgan and Morgan Stanley over record-keeping lapses.
July 14, 2022
SEC Action Against CCO Raises Many QuestionsThe order suggests that regulators will continue to second-guess CCOs' conduct.
July 14, 2022
Morgan Stanley to Pay $200M Over Misuse of Personal DevicesEarlier, regulators imposed a similar fine on JPMorgan, noting that managers had used WhatsApp and personal email for work.