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 Drops New Wave of WhatsApp Fines on BDs, Advisory Firms
By Melanie WaddellBaird and Interactive Brokers are among the firms that agreed to pay penalties.
September 26, 2023
SEC Charges Firm With Inflating AUM on Form ADVVista Financial Advisors repeatedly failed to corroborate its asset levels, the SEC said.
September 25, 2023
SEC: 'Cash Flow King' Host Ran $11M Ponzi SchemeMatthew Motil was charged with defrauding over 50 investors in a scheme involving notes backed by residential properties.
September 25, 2023
SEC Fines Firm $1M Over Marketing Rule ViolationsWellesley Asset Management made material misstatements and omissions in marketing materials about a bond index it created.
September 25, 2023
Deutsche Bank Unit to Pay $25M to Settle SEC ProbesThe fine is the biggest ever that the SEC has handed out over allegations of greenwashing.
September 22, 2023
SEC Hits Wisconsin BD With Reg BI FineThe firm's policies and procedures contained Reg BI language but weren't tailored to its business, the SEC said.
September 22, 2023
Goldman Sent Inaccurate Data to the SEC on 163M TradesThe bank agreed to pay a $6 million fine.
September 20, 2023
SEC Expands Its Rule on Fund NamesThe rule now applies to funds focusing on investment characteristics like growth, value and sustainability.