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 Charges Malta-Based RIA in $75M Scheme

September 01, 2022

SEC Charges Malta-Based RIA in $75M Scheme
Blowing the Whistle on How Insider Tips Are Handled: SEC Roundup

August 31, 2022

Blowing the Whistle on How Insider Tips Are Handled: SEC Roundup
Reg BI Enforcement to Zero In on Recommendations

August 30, 2022

Reg BI Enforcement to Zero In on Recommendations
SEC Expands Whistleblower Program

August 30, 2022

SEC Expands Whistleblower Program
Barred Broker Sentenced to 7 Years for Fraud

August 29, 2022

Barred Broker Sentenced to 7 Years for Fraud
Kovack Advisors Kept Clients in Unsuitable Wrap Accounts: SEC

August 29, 2022

Kovack Advisors Kept Clients in Unsuitable Wrap Accounts: SEC
SEC Loophole Lets Funds Mislead Investors on Performance: Study

August 26, 2022

SEC Loophole Lets Funds Mislead Investors on Performance: Study