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-Cambridge Advisor Barred Over Off-Channel Communications Probe
By Dinah Wisenberg BrinJay Zornes refused to cooperate with a FINRA probe, the regulator's consent agreement states.
January 12, 2026
Supreme Court to Review SEC Power to Recoup Illegal GainsThe case could blunt one of the agency’s most potent enforcement tools.
January 08, 2026
SEC Seeks Huge Boost to AUM Threshold for Small AdvisorsThe plan would raise the threshold to $1 billion from $25 million, easing compliance burdens for more RIAs.
January 05, 2026
Advisor Pleads Guilty to Tax Evasion, Faces Up to 5 Years in PrisonJefferey Arsenault of Old Greenwich Capital Advisors also agreed to pay nearly $7 million in restitution.
January 02, 2026
Ex-Merrill Broker Sentenced to Two Years in PrisonRajesh Markan was also ordered to pay $2.5 million to investors in a fake private equity fund.
January 02, 2026
SEC Commissioner Caroline Crenshaw DepartsThe agency is down to three commissioners — all Republicans.
December 23, 2025
15 of the Biggest Legal Dramas in Financial Services in 2025The year in lawsuits: Poaching, an estate battle, an advisor-client affair and some eyebrow-raising emails.
December 19, 2025
Expect Targeted AI Exams, Retail Fraud Crackdown in 2026The SEC's privacy and marketing rules along with continued revamps of FINRA rules are priorities for next year.