SEC

David Woodcock is set to take the job as SEC leadership directs staff to focus on insider trading, accounting fraud cases, market manipulation and breach of fiduciary duty by investment advisors.

SEC regulators instead take aim at their predecessors in the Biden Administration, saying the outsized fines were partly the result of a desire to "pursue media headlines and run up numbers."

FINRA and consumer advocates are raising alarms about online scams that are driving fraud losses into the hundreds of billions of dollars.

A decade after the SEC first raised concerns about outsourced CCOs, the model is growing. But the fundamental tension remains: How many firms can one person truly oversee, and at what risk?

Commonwealth was hit with the landmark penalty over its advisors' mutual-fund recommendations the year before its acquisition by LPL Financial. But it will pay only a fraction of that now.

The Securities and Exchange Commission and the Commodity Futures Trading Commission issued an interpretation of how federal securities laws apply to crypto.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.

Panelists said advisory firms should take urgent steps to get ahead of regulatory examinations focusing on AI use.

The platforms, where bets are placed on everything from U.K. soccer teams to the price of bitcoin, are getting traction from investors and attention from regulators.

The SEC's decision marks a startling reversal from the full-court press it had mounted against Commonwealth Financial Network in 2019 over alleged failures to disclose conflicts of interest in its brokers' mutual fund recommendations.

Regulators officially approved 30 more funds last month, with more expected authorizations in 2026. Will financial advisors and their clients bite?

The justices are scheduled to resolve disagreement among lower courts over whether market regulators can order fraudsters to repay ill-gotten gains to victims.

The regulator considers raising the AUM threshold it uses when considering how newly proposed rules are likely to affect small RIAs.

A detailed to-do list for SEC-registered firms to build a foundation for compliant and effective anti-money laundering protocols.

A new risk alert calls out firms for improperly disclosing relationships with outside promoters brought in to provide a testimonial or endorsement.

The GENIUS and Clarity Acts and SEC guidance on custody clear a path for advisors recommending digital asset strategies, albeit with expanded diligence protocols.

Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.

The fund manager, convicted of fraud by a New York federal jury in August 2024 and sentence to seven years, spent less than two weeks in prison before being released.

After the newly crypto-friendly Donald Trump won reelection, bitcoin jumped over $100,000. Many advisors and even more clients remain skeptical, though.