Securities and Exchange Commission SEC
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Who they are
The SEC is the primary federal regulator of the US securities markets, created by the Securities Exchange Act of 1934 after the 1929 crash.
What they do
The SEC requires public companies to disclose material information, regulates exchanges, broker-dealers and investment advisers, oversees mutual funds, and brings civil enforcement actions for securities fraud, insider trading and disclosure violations.
Key laws & regulations issued
- Rule Regulation Crypto Assets (SEC proposed rule, August 2026) 2026
- Rule Rescission of Climate-Related Disclosure Rules (SEC proposed rule, 2026) 2026
- Guideline SEC Commission interpretation on the application of federal securities laws to crypto assets (March 2026) 2026
- Rule Enhancement and Standardization of Climate-Related Disclosures for Investors (SEC rules, March 2024) 2024
- Rule Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (SEC rules) 2023
- Act Sarbanes-Oxley Act of 2002 2002
- Act Investment Advisers Act of 1940 1940
- Act Investment Company Act of 1940 1940
- Act Securities Exchange Act of 1934 1934
- Act Securities Act of 1933 1933
Enforcement by this regulator
The latest 10 of 13 — see all 13 on the Enforcement tab.
| Date | Entity | Action | Penalty | Source |
|---|---|---|---|---|
| 9 Oct 2026 | Jefferies LLC (broker-dealer) | Settlement Formal Reprimand | US$650,000 | official |
| 2 Oct 2026 | J.P. Morgan Securities LLC and JPMorgan Chase Bank, N.A. (broker-dealer and commercial bank) | Settlement Formal Reprimand | — | official |
| 28 Sep 2026 | Zoe Financial, Inc. (investment adviser) | Settlement Formal Reprimand | US$450,000 | official |
| 22 Sep 2026 | OTC Link LLC (broker-dealer operating an alternative trading system) | Settlement Formal Reprimand | US$575,000 | official |
| 3 Aug 2026 | UBS Financial Services Inc. (broker-dealer and investment adviser) | Settlement Formal Reprimand | US$20,000,000 | official |
| 29 Jun 2026 | Netrios LP Ltd. and Red Acre, Ltd. (offshore trading platform provider and affiliate) | Settlement | US$2,500,000 | official |
| 5 Jun 2026 | Western Asset Management Company, LLC (investment adviser) | Settlement Formal Reprimand | US$100,000,000 | official |
| 6 Mar 2026 | EisnerAmper LLP (accounting firm (PCAOB-registered auditor)) | Settlement Formal Reprimand | — | official |
| 6 Mar 2026 | New York Stock Exchange LLC (national securities exchange) | Settlement | US$9,000,000 | official |
| 6 Mar 2026 | Canaccord Genuity LLC (broker-dealer) | Settlement Formal Reprimand | US$20,000,000 | official |
Latest news
No news tagged to this regulator yet.