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 Updates List of Deceptive Firms, Fake Regulators
By Melanie WaddellThe firms on the SEC's PAUSE list provide inaccurate information or impersonate other firms.
November 24, 2021
Biggest Washington News of 2021The biggest news of this year includes regulatory, Social Security and SEC changes.
November 23, 2021
2021 News of the YearWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 22, 2021
SEC Charges Ex-Janney Rep With Running $9.6M Market Manipulation SchemeThe former broker allegedly used 18 securities accounts at 14 brokerage firms to artificially influence the market prices of 2,000-plus securities.
November 19, 2021
SEC Fines Jumped by a Third in 2021The SEC levied more than $1.4 billion in penalties in fiscal 2021 and filed 7% more new enforcement actions than a year ago.
November 18, 2021
SEC Bars Stock Trading Webcast Host Over Pump-and-Dump SchemeThe SEC and DOJ previously charged him with securities fraud in separate actions.
November 17, 2021
SEC Moves to Reverse Trump-Era Restrictions on Proxy Advisory FirmsThe plan would end requirements that proxy advisory firms share recommendations with executives and shareholders.
November 17, 2021
SEC Charges Firm, Founder in Opportunity Zone Fund ScamThe founder of Activated Capital LLC defrauded at least 14 investors out of $6.3 million, the SEC says.