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.
PIMCO Hit With $9M SEC Fine
By Melanie WaddellIn one of two enforcement actions, PIMCO failed to waive $27 million of advisory fees as it had agreed.
June 14, 2023
House GOP Seeks to Remove SEC Chair Gensler, Restructure CommissionThe proposed SEC Stabilization Act would add a sixth commissioner and ensure political party parity.
June 13, 2023
SEC to Weigh New AI Rules for BrokeragesA plan to rein in conflicts of interest associated with the use of artificial intelligence could be introduced as soon as October.
June 08, 2023
SEC Examiners Turn Up the Heat on Marketing Rule ComplianceSEC's new risk alert shows examiners "will be undertaking a comprehensive approach," says attorney Issa Hanna.
June 08, 2023
Ex-Morgan Stanley Advisor Pleads Guilty to Money LaunderingThe ex-broker took more than $1.5 million from two close relatives who were clients, the prosecutor said.
June 08, 2023
House Passes Bill to Create Senior Fraud Task ForceThe Senior Security Act would direct the SEC to set up a task force on protecting older adults from scams.
June 07, 2023
California Annuity Sales Rule Bill Faces Consumer Group OppositionThe consumer groups want to require agents to disclose cash compensation.
June 06, 2023
SEC's Coinbase Lawsuit Heralds Deepening Crypto CrackdownCoinbase for years evaded its rules by letting users trade crypto tokens that were actually unregistered securities, the regulator says.