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 Fines Bloomberg Tradebook $5M
By Jeff BermanThe broker misrepresented its order routing practices, the SEC said.
May 01, 2020
Human Capital: Andy Friedman on Next Stimulus Bill's Potential Tax ProvisionsFriedman also talks about the timing of "CARES 2," as well as what's "heating up" in U.S.-China relations.
May 01, 2020
The Litigation Risks of the Care Obligation of SEC Reg BIHere are some best practices to mitigate those risks.
April 29, 2020
Groups File Petition to End SEC Crackdown on 12b-1 Fees"It is time for the SEC to stop its troubling, ongoing trend of backdoor regulation," said FSI's Dale Brown.
April 28, 2020
SEC Brings First Fraud Charges Related to COVID-19Praxsyn Corp. falsely advertised that it had a large number of N95 masks, the SEC said.
April 27, 2020
RBC to Pay $3.9M for Share Class ViolationsThe firm failed to disclose potential conflicts of interest when recommending mutual fund share classes, the SEC said.
April 20, 2020
SEC Says Ex-Merrill Rep Bilked Pastors and Churchgoers, Bought Luxury GoodsThe broker also made Ponzi-like payments to investors in the scheme, the SEC says.
April 20, 2020
SEC Hits Merrill Over 12b-1 FeesThe firm was accused of failing to disclose a conflict of interest when advising clients to buy mutual fund shares with fees.