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.
Why the Pool of Accredited Investors Keeps Growing: New SEC Report
By Melanie WaddellOne big driver of the growth is retirement savings, the SEC says.
December 07, 2023
SEC Investor Advocate: RILAs Are Hard for Consumers to Understand"We rarely have examined a more complex retail investment product," Cristina Begoña Martin said.
December 01, 2023
SEC's Use of In-House Judges Cast in Doubt by Supreme CourtThe justices suggested that fraud defendants have a constitutional right to a jury trial.
November 30, 2023
Marketing Rule Among 2024 Enforcement Priorities: SEC RoundupFormer SEC lawyers from five different cities present advice for those looking to stay clear of the regulator.
November 29, 2023
Ex-Hedge Fund Boss Fights SEC at Supreme Court, Backed by Musk and CubanThe court is using George Jarkesy's case to consider stripping the SEC of a key enforcement weapon.
November 22, 2023
SEC Committee to Examine Accredited Investor DefinitionThe committee will review the existing definition and consider whether changes could boost capital-raising opportunities.
November 20, 2023
SEC Fines Two Brokers for Reg BI ViolationsThe brokers used "frequent in-and-out trades," the regulator said.
November 16, 2023
Ramaswamy Calls for Gutting SEC, Deregulating CryptoThe Strive Asset Management chairman and 2024 Republican presidential candidate wants a 75% reduction of the federal workforce.