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.
SEC to Lose About 500 Staffers to Buyout, Resignation Offers
By Lydia Beyoud and Nicola M. WhiteThe number may climb even higher as additional people accept the buyout ahead of Friday’s deadline.
March 20, 2025
Cambridge to Pay $15M Over Revenue Sharing, Wrap Account ConflictsThe firm will pay $10 million in disgorgement, $3 million in interest and a $1.8 million SEC fine.
March 20, 2025
SEC Releases New Marketing Rule FAQs on PerformanceThe updated guidance answers questions on advertising extracted performance and portfolio characteristics like Sharpe ratios and yields.
March 18, 2025
SEC to Speed Review of Funds With ETF Share ClassesThe SEC has received more than 50 applications for these products, collectively representing trillions in AUM.
March 18, 2025
Acting SEC Head Remakes Agency Even Before Trump Pick ConfirmedMark Uyeda's moves signal a policy U-turn that will be more dramatic than during the Trump’s first term.
March 07, 2025
SEC to Release New FAQs on Marketing RuleThe agency is looking at critical questions related to performance, says the SEC's investment management head.
March 06, 2025
SEC’s Uyeda Expects Slowdown in Rulemaking After ‘Ambitious’ Biden EraThe agency has dropped or paused 10 cases against crypto firms and signaled it won't pursue regulation by enforcement.
March 04, 2025
SEC May Close Offices in Philadelphia, Los AngelesThe moves are part of a General Services Administration plan to cut government office space and related costs.