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.
Schwab, 11 Other Firms to Pay $63M in SEC Texting Crackdown
By Melanie WaddellEmployees used personal devices to communicate internally and externally by text messages, the SEC said.
December 20, 2024
Wells Fargo and LPL to Pay $1.8M to Settle SEC ChargesEach firm agreed to pay a $900,000 penalty for failing to provide complete and accurate trading information.
December 18, 2024
FINRA Awards $4.8M to Baird in Raymond James Poaching DisputeThe payments represent only a fraction of the $74 million in damages sought by the wealth management firm.
December 13, 2024
Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC AbusesThe firm, led by Howard Lutnick, misled investors in two blank-check firms, the regulator says.
December 13, 2024
Senators Delay Crenshaw Vote, Increasing Odds of All-GOP SECThe commissioner dissented to spot bitcoin ETF approval and supports stricter climate-related disclosure rules.
December 11, 2024
SEC Rule Predictions: What's In, What's Out in 2025Attorneys expect a slowdown or halt on texting fines and a potential Custody Rule revamp, among other changes.
December 11, 2024
Expect Dramatic Enforcement Changes in 2025: SEC RoundupLegal experts discuss their views on how 2025 might shape up.
December 10, 2024
Ex- Broker Settles SEC Fraud, Reg BI Charges for $2MChristopher Booth Kennedy has agreed to pay more than $2 million to settle the charges.