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.
Short Seller Loses Bid to Toss SEC Fraud Case
By Erik LarsonA lawsuit accuses Andrew Left of committing fraud through stock trades, social media posts and research reports.
April 22, 2025
Paul Atkins Sworn in as SEC ChairAtkins must now contend with DOGE, market turbulence and a slimmed-down staff.
April 18, 2025
SEC Pushes Back on DOGE Access to Some Agency DataEliezer Mishory, who's leading the DOGE team at the SEC, requested staff emails, personnel data and contracts.
April 16, 2025
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 OthersSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 10, 2025
Paul Atkins Takes Helm of a Very Different SECThe new chair must grapple with turbulent markets, tariffs, DOGE on site and a slimmed-down agency.
April 10, 2025
Paul Atkins Confirmed to Lead SECThe Wall Street consultant steps into the role a week after President Trump’s sweeping tariffs unleashed market turmoil.
April 09, 2025
SEC Weighs Raising AUM Threshold for Advisor RegistrationThe move makes sense but could create headaches for midsize advisors in some states, compliance pros say.