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-WWE CEO Vince McMahon to Settle SEC Case for $1.7M
By Nicola M. WhiteMcMahon hid hush-money settlements he negotiated, leading to incorrect financial statements, the SEC says.
December 18, 2024
FINRA Awards $4.8M to Baird in Raymond James Poaching DisputeThe payments represent only a fraction of the $74 million in damages sought by the wealth management firm.
December 13, 2024
Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC AbusesThe firm, led by Howard Lutnick, misled investors in two blank-check firms, the regulator says.
December 13, 2024
Senators Delay Crenshaw Vote, Increasing Odds of All-GOP SECThe commissioner dissented to spot bitcoin ETF approval and supports stricter climate-related disclosure rules.
December 11, 2024
SEC Rule Predictions: What's In, What's Out in 2025Attorneys expect a slowdown or halt on texting fines and a potential Custody Rule revamp, among other changes.
December 11, 2024
Expect Dramatic Enforcement Changes in 2025: SEC RoundupLegal experts discuss their views on how 2025 might shape up.
December 10, 2024
Ex- Broker Settles SEC Fraud, Reg BI Charges for $2MChristopher Booth Kennedy has agreed to pay more than $2 million to settle the charges.
December 10, 2024
8 Pros and Cons of Mandatory Arbitration for RIAsThe process can be more timely and cost -effective for dispute resolution, but it also has some downsides.