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.
Reg BI and the History of 'Fiduciary' Debate
By Melanie WaddellThe standards of conduct are core to how advisors and BDs do business.
June 21, 2020
Trump Fires U.S. Attorney, Names Clayton as SuccessorGeoffrey Berman agreed to leave his position after he was temporarily replaced by his deputy Audrey Strauss.
June 20, 2020
Barr Taps SEC's Clayton to Replace U.S. Attorney Who Refuses to ResignGeoffrey Berman, the U.S. attorney for the Southern District of New York, has led investigations into Trump associates.
June 18, 2020
Trump Nominates Crenshaw as SEC CommissionerTrump says he intends to nominate Caroline Crenshaw to fill the Democratic seat.
June 17, 2020
'Buckets of Money' Advisor Settles With SEC After Long Legal BattleRay Lucia Sr. can now reapply for association with registered entities, says a civil rights group involved with the settlement.
June 12, 2020
Barred Broker Took Money From Veteran: SECStarting in 2015, Frederick Stow sold securities and moved funds from the account 74 times, the SEC says.
June 12, 2020
Human Capital: John Reed Stark Identifies Lurking Cybersecurity RisksIn this episode, Stark warns, "There are legions of soldiers waking up every morning with the sole desire to attack U.S. systems."
June 09, 2020
Trader Made False COVID-19 Blood Test Claims in Pump-and-Dump Scheme: SEC"We allege that Nielsen engaged in multiple forms of deception to exploit investors amidst the COVID-19 pandemic," the regulator said.