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.
Commonwealth Still Fighting $111.5M SEC Suit Over Mutual Fund Fees
By Dinah Wisenberg BrinThe firm hopes to limit the damages it must pay to between $5 million and $24 million.
March 07, 2024
New Marketing Rule, AI in SEC Examiners' Crosshairs"You're going to see us focusing on marketing in almost every exam," SEC's Natasha Vij Greiner says.
March 06, 2024
SEC Scales Back New Pollution-Disclosure RulesUnder the final rules, publicly traded companies have to disclose actual or potential material impacts of climate-related risks.
March 01, 2024
Ameriprise Braces for $50M SEC Fine Over Electronic MessagesAmeriprise states in its annual report that it has reached an agreement in principle with the SEC staff.
February 29, 2024
Senators Introduce E-Delivery BillThe bill requires the SEC to allow financial firms to deliver their documents in digital format.
February 28, 2024
SEC Investment Management Director Steps DownWilliam Birdthistle will be replaced by Natasha Vij Greiner, a deputy director in the Division of Examinations.
February 26, 2024
Advisor Accused of Taking $1.6M Faces Wire Fraud ChargeProsecutors allege that the wealth manager misappropriated client funds, using them for her real estate business.
February 23, 2024
LPL Facing SEC Fine as High as $50M Over Texts, App UseTwo weeks ago, 16 other firms agreed to pay more than $81 million for similar issues.