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.
SEC Reports Its Second-Biggest Fine Total Ever for 2023
By Melanie WaddellThe agency said it filed 3% more enforcement actions than in fiscal year 2022.
November 02, 2023
SEC Highlights Exam Priorities for 2024Examiners will address how advisors mitigate conflicts of interest and allocate investments to certain accounts.
October 26, 2023
Raymond James' Profits Take $55M Hit From FinesThe $55 million hit was tied to the SEC's industry sweep of firms' off-channel communications.
October 25, 2023
'All Cases Are Important,' SEC's Gensler SaysGensler and the agency's enforcement director also addressed off-channel communications Wednesday at the Securities Enforcement Forum.
October 19, 2023
How CapWealth Fought 12b-1 Fee Charge: SEC RoundupCapWealth founder Tim Pagliara explains how his firm prevailed over the regulator in federal court.
October 18, 2023
Citadel Securities, ASA Sue SEC Over CATSEC "has overstepped its statutory authority and failed to address investor and industry concerns, leaving us no choice but to litigate," they said.
October 17, 2023
Ethereum ETFs Are Here. Is Spot Bitcoin Next?Everyone except SEC's chair seems to understand that a spot bitcoin ETF would be in investors' best interests.
October 17, 2023
SEC Commissioner Concerned About Insurers' Broadly Syndicated LoansCaroline Crenshaw worries about the possibility that insurers or other investors could pile up hidden BSL risk.