Zoe Financial Pays $450K to Settle SEC Conflict-of-Interest Charges

September 28, 2026

SEC Bars Adviser Over $509K in Undisclosed Referral Fees Tied to Failed Real Estate Fund

September 24, 2026

KKR Moves Up KREST Support Payment, Adds 2% Fee on Shares Held Less Than a Year

September 4, 2026

SEC Charges Adit Ventures, CEO With Defrauding Pre-IPO Fund Investors

August 10, 2026

PIK Income Rose at Seven of Nine Largest Nontraded BDCs in Q1

August 5, 2026

SEC Proposes Making Electronic Delivery the Default for Investor Disclosures

July 16, 2026

SEC’s Atkins Details Offering Reform, Enforcement Overhaul Plans

June 30, 2026

FINRA Suspends Cambridge Rep Over Concealed Investment Referral Arrangement

June 12, 2026

SEC Examiners Find Undisclosed Revenue Sharing, Inconsistent Fee Billing at RIAs

June 10, 2026

SEC Updates Enforcement Manual, Codifies Wells Process Reforms

March 2, 2026

With Digital Assets, SEC Chair Urges Balance Between Surveillance and Privacy

December 15, 2025

FSI Letter Urges SEC to Reform Enforcement Practices, Citing ‘Regulation by Enforcement’ Risks

November 11, 2025

SEC Chair Announces ‘Wells Process’ Reforms, Expanding Disclosure and Response Rights

October 19, 2025

SEC Fines Vanguard, Empower $26 Million for Failure to Disclose Conflicts of Interest

September 1, 2025

SEC Withdraws 14 Proposed Rules, Signaling Lighter Regulatory Touch

June 16, 2025

SEC Provides Clarity on Disclosure Rules for Crypto Asset Securities Offerings

April 10, 2025

SEC Fines Cambridge RIA $15 Million for Nondisclosure, Breaching Fiduciary Duty

March 21, 2025

Ashford to Settle Negligence-Based Charges for Misleading Investors Regarding Cyber Incident

January 15, 2025

Chair Gensler to Depart SEC on President-Elect Trump’s First Day

November 21, 2024

Navigating Reg BI: Strategies for Smaller Firms to Stay Compliant

July 31, 2024