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Securities and Exchange Commission

In network coverage since October 2, 2026 · 16+ stories

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SEC settles Zoe Financial referral-algorithm case with a $450,000 penalty

The order says salespeople often recommended advisers beyond the algorithm's list, and that a conflict created by an affiliated service went undisclosed until December 2024.

practice · Oct 6SEC sets Nov. 19 virtual compliance seminar for advisers and funds

practice · Oct 6SEC exam division replaces its brochure with a stage-by-stage handbook

portfolio · Oct 6SEC proposes crypto custody framework for advisers and regulated funds

practice · Oct 6SEC proposes rescinding pay-to-play rule for advisers with government clients

investments · Oct 6Alto to buy Forge Trust from Schwab, combining over $20 billion in retirement assets

practice · Oct 6SEC and five other regulators warn on impersonation and relationship investment scams

policy · Oct 5Three Democratic state finance officials press SEC to extend Rule 14a-8 comment period

the_wrap · Oct 5Toni McDermott of Arrow Global maps three private credit origination routes

advisor_note · Oct 5SEC proposes repealing two-year pay-to-play ban on government advisory work

practice · Oct 4SEC proposes ending pay-to-play rule that prompted many advisers to ban all employee contributions

regulation · Oct 4Nov. 3 midterms will decide SEC oversight and crypto's tax bills

regulation · Oct 4Senate rejects Clarity Act 49-50; KBW says crypto M&A trajectory holds

The Close · Oct 3Blue Owl caps two funds at 5% as a 39% redemption queue builds

practice · Oct 2SEC proposes custody relief for RIAs with discretionary trading authority

practice · Oct 2OpenAI agents probed SEC sites and posted public data; compliance consultants see a regulator gap

Securities and Exchange Commission

SEC settles Zoe Financial referral-algorithm case with a $450,000 penalty

The Morning Brief