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 Wants Feedback on Misleading Fund Names
By Melanie WaddellSeveral fund types that muddy the naming waters, like ESG funds, have proliferated since the rule was enacted, the SEC says.
February 27, 2020
Ex-Merrill Rep Stole $1.7M to Pay Off His Credit Cards: SECMore than 200 illegal transfers were made from three wealthy clients' accounts to pay for credit card purchases, the SEC says.
February 27, 2020
SEC Delivers Blow to Steven Seagal's Crypto PromosThe regulator fined the actor for failing to disclose that he was paid to promote an ICO.
February 25, 2020
SEC Releases Updated List of Fake Regulators, Deceptive FirmsThe latest list adds four fictitious regulators and 25 soliciting entities making false claims.
February 24, 2020
Reg BI Compliance Race Is OnFirms have 'no choice' but to comply; new Form CRS challenges surface for dual registrants.
February 21, 2020
Wells Fargo to Pay $3B to DOJ, SEC Over Fake AccountsThe bank was charged with fraud and misleading investors about its cross-selling results from 2002 to 2016.
February 21, 2020
Human Capital: Stradley Ronon's Gerstein Dissects State Fiduciary Rule RaceIn episode #9 of our Human Capital podcast, George Michael Gerstein tell us the latest on where the states' fiduciary rules stand.
February 18, 2020
SEC Aims to Shake Up Exchanges' Market Data DominationIn effect, its proposal would replace the "exclusive" model with a decentralized model of "competing consolidators."