The SEC could unveil the final versions of dozens of its rules as early as April, according to the White House Office of Management and Budget. The potential final rules include those restricting ...

The SEC's Division of Examinations has released its Fiscal Year 2026 Examination Priorities, a comprehensive document ...

Broker/dealer advocates are pressing Securities and Exchange Commission Chair Paul Atkins on what they claim is the agency’s enforcement approach to “shoot first and ask questions later,” a practice ...

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...

The Financial Services Institute has asked the SEC to adopt formal rules that "ensure fairness, transparency and predictability in its enforcement practices." The request came in a letter sent by FSI ...

The year 2025 has been "a good year" for municipal securities regulation – a representative of one broker-dealer group said, ...

Proposed regulations would provide permanent relief from certain reporting requirements related to sales or exchanges of ...

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...