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.
SEC Chief Takes Aim at Payment for Order Flow in Sweeping Plans for Stock Markets
By By Lydia Beyoud and Katherine DohertyThe plan would be the agency's most direct response to 2021's trading in GameStop and other meme stocks.
June 07, 2022
How to Invest in Crypto NowFrom cryptocurrency exchanges to private funds to crypto-linked ETFs, your clients have plenty of investing options.
June 07, 2022
Fake Financial Advisor Gets 4.5 Years in Prison for FraudThe defendant used some of the $3 million scammed from clients for gambling and to make Ponzi payments.
June 07, 2022
Sole-Proprietor RIA Becomes Latest Target of SEC's 12b-1 Fee ActionsThe SEC ordered KMA to pay more than $300,000.
June 06, 2022
SEC Fines Another Advisory Firm for Form CRS FailuresAdirondack Financial Services Corp. is in trouble with the SEC after missing its regulatory deadlines.
June 03, 2022
Is It Possible to Disclose a Cyberattack in 4 Days? — SEC RoundupNick Morgan and Tom Zaccaro talk with ex-SEC cyber official John Reed Stark about the regulator's proposal.
May 31, 2022
SEC Hits Madison Avenue Securities Over Revenue Sharing, 12b-1 FeesThe firm must pay more than $800,000.
May 27, 2022
SEC Investor Advocate Rick Fleming to DepartFleming, the first investor advocate for the agency, is leaving July 1.