Regulator
SEC
- Recent stories
- 10
- Outlets covering
- 4
- Moves
- 0
- Deals
- 0
- Regulation
- 10
- 7-day trend
From the Newsroom
SEC on the wire
Search the wire →Regulation · InvestmentNews
SEC accuses CEO of secretly funneling stock to familyRegulation · WealthManagement.com
SEC Crypto Custody Proposal Draws Divisive ReactionsRegulation · Financial Planning
SEC seeks to ease advisors' custody burdens with discretionary tradingRegulation · InvestmentNews
SEC accuses fund advisor of defrauding SpaceX, OpenAI investorsRegulation · InvestmentNews
SEC alts proposals may spark compliance 'culture shock' for managersRegulation · InvestmentNews
SEC bars NY advisor who allegedly defrauded elderly client of $2.4 millionRegulation · InvestmentNews
Fake signals, frozen accounts: SEC sues crypto AI platform over $12.5MRegulation · WealthManagement.com
Compliance Experts Caution Regulators After AI Agents Probe SECRegulation · WealthManagement.com
Wall Street Regulator Moves to Expand Access to Private Funds
SEC: questions
What kind of firm is SEC?
Financial ADVSR covers SEC as a regulator that oversees financial advisors and firms. This page collects every SEC story from the wealth management press, updated throughout the day.
What is the latest news about SEC?
The most recent SEC headline in the industry press is “SEC accuses CEO of secretly funneling stock to family” (InvestmentNews, October 5). Financial ADVSR’s latest reporting on the firm is “Merrill lands Morgan Stanley and Wells Fargo teams with $770 million combined” (October 5).
How much is SEC in the news?
10 stories from 4 outlets have mentioned SEC since September 4, including 10 about regulation.