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.

Federal Regulation

SEC Charges Father-Son Advisory Team With Fraud

By Jeff Berman
LPL, Raymond James Caught in SEC's Messaging Probe

March 01, 2023

LPL, Raymond James Caught in SEC's Messaging Probe
Robinhood Subpoenaed by SEC Over Crypto Business

February 28, 2023

Robinhood Subpoenaed by SEC Over Crypto Business
2 More RIAs to Pay Nearly $900,000 Over 12b-1 Fees

February 28, 2023

2 More RIAs to Pay Nearly $900,000 Over 12b-1 Fees
Wall Street's ChatGPT Nightmare Is Over Before It Starts as Banks Crack Down

February 24, 2023

Wall Street's ChatGPT Nightmare Is Over Before It Starts as Banks Crack Down
Is the Sweep of Advisors' Texting Legal? — SEC Roundup

February 24, 2023

Is the Sweep of Advisors' Texting Legal? — SEC Roundup
SEC Calls for Proceedings Against Imprisoned Ex-Broker

February 22, 2023

SEC Calls for Proceedings Against Imprisoned Ex-Broker
Wells Fargo Discloses Probes as Scrutiny of Messaging App Use Widens

February 22, 2023

Wells Fargo Discloses Probes as Scrutiny of Messaging App Use Widens