Cybersecurity for the Insecure Advisor
Now that the SEC's own EDGAR system has been hacked, examiners there might be even more interested in your computers.
Zenefits Settles With SEC Over Charges It Misled Investors
The company and its former CEO have not admitted any wrongdoing.
Senate Panel Schedules SEC Nomination Hearing for Peirce, Jackson
If confirmed by the full Senate next week, both would enter the agency as it crafts a fiduciary rule.
Advisor Charged in Multimillion-Dollar Options Trading Scheme: Enforcement
The SEC also obtained a $58 million judgment against the perpetrator of international pump-and-dump scheme involving Marley Coffee.
SEC ‘Working on’ Fiduciary Rule, Concerned About State Laws: Clayton
SEC and DOL "can cooperate and get there, I believe" on a fiduicary rulemaking, Clayton told lawmakers. "The devil is in the details."
Individuals’ Personal Info Revealed in SEC EDGAR Hack
A test filing accessed by third parties contained names, birthdates and Social Security numbers of two individuals.
SEC: Barred Broker Bilked Retirees to Fund E-Cigarette Business
The broker, formerly of the firm depicted in "The Wolf of Wall Street," also used client funds for trips to the tanning salon, SEC says.
SEC Nabs 3 Brokers for Excessive Trading
The SEC also charged an investment advisory firm and its owner with lying about experience and past performance.
SEC to Gather Data on Unregistered Advisors, Brokers
Third-party advisor exams are “not a bad idea,” SEC chief Jay Clayton said, but “it’s not front of my mind right now.”
Lynn Tilton Wins SEC Fraud Trial She Worked Hard to Avoid
The Patriarch Partners founder called the proceeding unfair after the SEC sued her over claims she defrauded investors.