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.
New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC Roundup
By Nicolas Morgan and Tom ZaccaroFormer SEC Commissioner Troy Paredes discuss the commission's evolving approach to financial innovation and digital asset regulation.
May 19, 2025
5 Years In, Reg BI Is Still Unclear to BDsCompliance professionals say Reg BI has been a heavy lift but has helped to derisk the industry.
May 19, 2025
Advisors Must Prepare for Where Crypto Is HeadedAs the tone changes toward the digital currency, strong compliance frameworks have never been more essential.
May 19, 2025
SEC to Review Trade Data CollectionThe CAT system has gotten pushback over costs and security risks, SEC chairman Paul Atkins says.
May 16, 2025
New Bill Would Require SEC to Update 'Small Entity' DefinitionRaising the threshold, currently $25 million in AUM, would give small RIAs special consideration in federal rulemaking.
May 08, 2025
Wall Street Brokers Risk Losing Billions in Fees on SEC ShiftA potential regulatory shift in favor of the ETF industry is expected to shake up the business models.
April 28, 2025
Retiree Gets Jail for Role in $47M Insider Trading SchemeThe Oregon resident conspired with a Nuveen trader, now serving a six-year sentence, a court ruled.
April 25, 2025
Ray of Hope Emerges for 'Forever Bars': SEC RoundupIn four separate cases, the SEC has granted applications filed by barred professionals seeking to resume working.