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 Fines Wells Fargo Advisors $7M Over Anti-Money Laundering Failures

May 20, 2022

SEC Fines Wells Fargo Advisors $7M Over Anti-Money Laundering Failures
Allianz Fund Managers' Paydays Could Be Followed by Prison

May 19, 2022

Allianz Fund Managers' Paydays Could Be Followed by Prison
SEC Budget Boost Would Support 5% More Advisor Examiners: Gensler

May 17, 2022

SEC Budget Boost Would Support 5% More Advisor Examiners: Gensler
Few RIAs Using Testimonials, Reviews: Study

May 17, 2022

Few RIAs Using Testimonials, Reviews: Study
More Reg BI Rollover Guidance Likely on Its Way: SEC Chief

May 17, 2022

More Reg BI Rollover Guidance Likely on Its Way: SEC Chief
Allianz Unit to Plead Guilty, Pay $5.8B Over Funds' Collapse

May 17, 2022

Allianz Unit to Plead Guilty, Pay $5.8B Over Funds' Collapse
SEC Plans Cyber Rule for BDs

May 16, 2022

SEC Plans Cyber Rule for BDs