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 Says Ex-Merrill Rep Bilked Pastors and Churchgoers, Bought Luxury Goods
By Jeff BermanThe broker also made Ponzi-like payments to investors in the scheme, the SEC says.
April 14, 2020
SEC Reg BI Seeks to 'Carve Up' Market for Investment Advice, XYPN SaysIt's "just the latest in a series of attempts by the SEC to exceed or misapply its regulatory authority," XYPN said.
April 14, 2020
SEC Reaches Settlements in EDGAR Hacking CaseThe settlements were with David Kwon and Igor Sabodakha, accused of trading on hacked earnings reports.
April 13, 2020
Shareholders Should Be Heard, Not MuzzledThe SEC is moving toward tamping down small shareholder proxy input. Many are fighting back. Here's why.
April 10, 2020
New SEC Rule Amendments to Help Closed-End Funds, BDCsThe changes will benefit investors in business development companies and other closed-end funds, the SEC chairman says.
April 03, 2020
Human Capital: ERISA Expert Fred Reish on Market Volatility, Stimulus PlanIn episode No. 12 of our podcast, we talk with popular ERISA attorney Fred Reish of Faegre Drinker Biddle & Reath.
April 02, 2020
SEC Won't Extend Reg BI, Form CRS Compliance DateFirms facing disruptions due to COVID-19 "should engage with us," SEC chief Jay Clayton said.
March 30, 2020
Sen. Burr's Stock Trade Argument May Not Hold Water With SECYou don't have to actually use the material nonpublic information to face insider trading charges.