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.
Eye-Watering Texting Fines Need Transparency: SEC Roundup
By Nick Morgan and Tom ZaccaroThe American Securities Association's CEO talks about why the group is suing the SEC.
June 17, 2024
SEC's Crypto Enforcement Chief Steps DownHirsch made the announcement early Monday morning in a LinkedIn post.
June 14, 2024
SEC Hits RIA With $100K Marketing Rule FineTwenty Acre Capital misled investors by presenting performance returns experienced by a single investor, the SEC says.
June 14, 2024
Court Adopts SEC's Expansive View of 'Dealer': SEC RoundupSEC's rationale threatens to ensnare unsuspecting private funds, family offices and private investment in public equity (PIPE) investors.
June 12, 2024
16 Biggest Fines in SEC's Texting CrackdownThe texting sweep has been raging for over two years, with more firms expected to face fines.
June 06, 2024
Ex-Broker Charged With Bilking at Least 17 Clients in $2.7M FraudJared Dean Eakes gained access to the clients by buying books of business under false pretenses, prosecutors say.
June 06, 2024
SEC Hit With Lawsuit Over Texting SweepA trade group says the SEC was unclear on how penalties were calculated and why it targeted certain firms.
June 05, 2024
SEC Hedge Fund Fee Disclosure Rule Struck Down by U.S. CourtThe U.S. Fifth Circuit Court of Appeals in New Orleans on Wednesday sided with the private funds industry.