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.
Ex-Broker Found Guilty of Fraud Related to Murder of Client
By Jeff BermanKeith Todd Ashley was charged with murder while under investigation in a suspected fraud scheme.
October 03, 2022
Kim Kardashian to Pay $1.3M to SEC for Crypto ToutingHer 2021 Instagram post "may have been the financial promotion with the single biggest audience reach in history," said one regulator.
September 30, 2022
SEC Smites Pastor of Fake Church Over Ponzi SchemeThe Church for the Healthy Self held no religious services but ran an investment program promising 12% returns.
September 27, 2022
16 Firms to Pay $2B Over Text Message ViolationsFirms including BofA Securities, Goldman, Morgan Stanley and UBS failed to preserve messages on platforms like WhatsApp, regulators said.
September 23, 2022
Our Clients Want Us to Text Them. Here's How.Texting comes with regulatory challenges, but it's clients' preferred communication method.
September 23, 2022
Raymond James Fined $500K Over Rep Who Stole From WWII VetThe firm failed to supervise the rep, who was later sentenced to five years in prison, the SEC said.
September 22, 2022
Ex-CNBC Guest Analyst and Advisor, Thought to Be in Hiding, Is Charged With FraudJames Arthur McDonald Jr. allegedly lost millions of dollars of client funds in risky trading and misappropriated millions more.
September 22, 2022
SEC Set to Let Wall Street Keep Payment-for-Order-Flow DealsThough the news is a win for brokerages like Schwab and Robinhood, the firms may still face tough new regulations.