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 Sanctions Hit New High at $8.2B in 2024
By Melanie WaddellMarketing Rule violations resulted in settled charges against more than a dozen advisors.
November 18, 2024
GOP Senator Calls for Rulemaking Halt Until Trump Takes OfficeA flurry of activity at the SEC and other agencies is more likely, a compliance consultant says.
November 14, 2024
Gensler Makes Final Pitch on SEC Crypto RulesThe Trump administration won’t share his view of the digital asset industry.
November 11, 2024
Who Might Succeed Gensler as SEC ChairRichard Farley of Kramer Levin Naftalis & Frankel and Norm Champ of Kirkland & Ellis are among the contenders.
November 08, 2024
Invesco to Pay $17.5M Over Misleading StatementsIt misrepresented the percentage of assets that took ESG factors into consideration, the SEC said.
November 07, 2024
SEC Enforcement Chief Doubles Down on Need for Texting CrackdownThe division considers the firm's size and regulated parts to ensure an adequate penalty, Sanjay Wadhwa said.
November 07, 2024
What's at Stake in the Ameriprise-LPL Fight Over Client DataAmeriprise accuses LPL of encouraging recruits to abscond with client data; LPL says Ameriprise aims to restrict competition.
November 05, 2024
Ex-Merrill Wealth Chief Launches RIAThe new firm, Indivisible Partners, will launch in the first quarter, John Thiel says.