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 Charges a Top Sales Agent in Woodbridge Case
By Melanie WaddellBrett Pittsenbargar raised more than $18 million selling Woodbridge securities in unregistered transactions, the SEC says.
November 19, 2019
SEC Freezes Assets in $6M Ponzi SchemeThe scam targeted seniors and small-business owners worldwide.
November 19, 2019
SEC Chairman Cites Fishy Letters in Support of Proxy Policy ChangeLetters he brought up at a recent meeting were not from regular folks but from a misleading, and clumsy, PR campaign.
November 19, 2019
SEC Chairman Wants to Know: 'Have We Preserved Choice' in Reg BI?Clayton told attendees at SIFMA's annual meeting that he encourages the industry to ask questions about Reg BI implementation.
November 19, 2019
Ex-NFL Player Found Guilty of Defrauding Investors in Second TrialThe former Philadelphia Eagles linebacker's first conviction, with a 40-year prison sentence, was vacated on appeal and remanded to a lower court.
November 14, 2019
Human Capital: Compliance Guru Todd Cipperman Breaks Down SEC's New Ad RuleIn Episode #4 of our podcast, we talk with Cipperman, a go-to expert on all things compliance-related for advisors.
November 12, 2019
SEC Charges New York Advisor With Running Investment Club Ponzi SchemeThe scheme involved high-yield notes issued through a group called Amongst Friends, the SEC said.
November 12, 2019
SEC's Variable Annuity Prospectus Rule Likely by AprilThe VA summary prospectus has been long awaited.