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.
Advisor Charged With Securities Fraud in Insider Trading Scheme
By Jeff BermanAn advisor allegedly traded after a friend discussed a potential acquisition at the company he worked for.
September 20, 2022
Morgan Stanley to Pay $35M SEC Fine Over Data SecurityAbout 15 million clients' details were compromised over a five-year period starting in 2015.
September 19, 2022
SEC Warns Investors on Performance ClaimsThe commission tells investors to make sure they understand how performance claims are calculated and presented.
September 19, 2022
SEC Releases Risk Alert on Marketing Rule Exam PrioritiesThe SEC highlights exam focus areas as the Nov. 4 compliance date approaches.
September 19, 2022
Ex-Morgan Stanley Broker Pleads Guilty to $7M Ponzi SchemeShawn Edward Good bought at least five luxury cars with clients' money, according to prosecutors.
September 16, 2022
Move Now on SEC Marketing Rule Compliance, Pros WarnThe Nov. 4 compliance date for the Securities and Exchange Commission's new Marketing Rule is fast approaching.
September 16, 2022
Chicago BD to Pay Over $105K for Failing to Register as Muni AdvisorLoop Capital Markets is the first broker-dealer to be charged under the muni advisor rule.
September 15, 2022
SEC Chief Presses Senators to Fund More Reg BI ExamsIn the last completed fiscal year, the agency conducted over 3,000 exams, exceeding the previous year, Gensler testified.