SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
SEC Adds to General Electric's Long-Term Care Insurance Headaches
By Allison BellGE says it disagrees with how the SEC staff sees things.
September 30, 2020
Morgan Stanley to Pay $5M Over Reg SHO ViolationsThe structure of the firm's prime brokerage swaps business resulted in rule violations, the SEC said.
September 28, 2020
Barred Broker Arrested, Charged With FraudThe CEO of Concorde Group Holdings, based in Jersey City, was charged with securities and wire fraud.
September 23, 2020
SEC Votes to Restrict Shareholder ProposalsThe agency voted to raise the thresholds required for shareholders to submit proxy proposals.
September 23, 2020
Whistleblower Lawyers Recoil at SEC's New Rules"The spin is just remarkable," Sean McKessy, former SEC whistleblower chief, said. "Overall, this is a net-negative for whistleblowers."
September 23, 2020
Sizing Up the SEC Accredited Investor Definition ChangesWith certifications now a qualifying measure, debate ensues on which ones should be included.
September 23, 2020
Senators Warn SEC Against 'Detrimental' Whistleblower ChangesThe changes, which the SEC is voting on today, could deter whistleblowers and potentially cap awards, the senators say.
September 22, 2020
SEC's Peirce Says She'll Fight to Further Expand Accredited Investor DefinitionPeirce said she would advocate for more credentials to be added to the list.