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.
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors
By Dinah Wisenberg BrinStanley Pophal is accused of luring at least 120 investors to buy promissory notes in a $15 million scheme.
June 24, 2025
Staff Gone Rogue: Federal Action Without Commission Approval — SEC RoundupAdministrative proceedings are continuing with the same flaws, with the Enforcement Division apparently emboldened to act without SEC authorization.
June 17, 2025
BDs Demand a Revamp of These FINRA RulesFINRA is conducting a broad review, and firms aren't mincing words on the changes they'd like to see.
June 13, 2025
SEC Names New Investment Management DirectorBrian Daly, a partner at Akin Gump Strauss Hauer & Feld, will replace Natasha Greiner, who departs July 4.
June 13, 2025
SEC Shreds Plans for 14 Major RulesThe list includes controversial proposals aimed at RIAs.
June 12, 2025
Vanguard Seeks SEC Approval to Expand Tax-Busting Fund DesignVanguard aims to use its signature dual-share class design with actively managed funds.
June 11, 2025
FINRA Seeks to Allow Challenges to Suspensions, BarsThe rule change would let reps and BDs request relief from the SEC at FINRA's discretion.
June 10, 2025
Fired Edward Jones Advisor Wins a Cleanup of His RecordThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.