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.
Beware of Double Jeopardy in SEC Proceedings: SEC Roundup
By Nick Morgan and Tom ZaccaroAfter federal court litigation, the SEC may seek to bar you for the same conduct.
April 18, 2024
New SEC Risk Alert Points to 5 Marketing Rule Trouble SpotsThe alert lists compliance shortfalls advisors should fix before examiners come knocking.
April 16, 2024
Advisor on FBI's 'Most Wanted' List Arrested on Fraud ChargesAuthorities say William Jack Berg defrauded his clients, using their $1.5 million for his own benefit.
April 12, 2024
SEC Hits 5 RIAs With Marketing Rule FinesThe firms have agreed to pay $200,000 in combined penalties over their use of hypothetical performance in ads.
April 05, 2024
Ex-Ameriprise Advisor Awaits Sentencing in $1.2M Fraud CaseThe Texas-based planner pleaded guilty to defrauding clients; she used money to buy a house and shotgun.
April 04, 2024
SEC Hits RIA With $6.5M Texting FineSenvest employees communicated about company business internally and externally using personal texting platforms.
April 03, 2024
Commonwealth Must Pay SEC $93M Over Revenue SharingCEO Wayne Bloom said the firm is "exploring all options to continue to defend our position."
April 03, 2024
Reg BI to Be 2025 SEC Exam PriorityThe SEC is issuing more Risk Alerts and releasing its priorities early, the agency's exam director said Tuesday.