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.
Barred CCO Had 'Complete Lack of Qualifications' for the Job
By Melanie WaddellA federal judge says the CCO acted recklessly and helped a Chicago-area firm commingle funds.
February 07, 2020
Human Capital: Ed Slott Tackles Thorniest Secure Act ProvisionsIn episode #8 of our Human Capital podcast, Slott jumps into the stretch IRA changes, and why the law sets up an "emergency estate planning revision."
February 06, 2020
SEC Issues Warning on Coronavirus Investment ScamsWatch out for pump-and-dump scammers claiming their products cure or prevent the virus, the SEC says.
February 03, 2020
Opposition to SEC Proxy Proposals GrowsThe latest indications of opposition include a petition signed by over 18,000 individuals and a protest outside SEC headquarters.
January 30, 2020
Fight Over SEC Proxy Rule Changes Comes to a HeadAlmost 7,000 commenters have weighed in, mainly against the changes.
January 29, 2020
SEC Says Former Advisor Stole $2.4M From Elderly ClientsThe former dually registered advisor took $1.4 million from advisory clients and another $1 million from brokerage clients, the SEC says.
January 28, 2020
Catalyst Capital to Pay $10.5M for Misleading InvestorsThe firm misrepresented risk in a mutual fund, according to the SEC.
January 28, 2020
Ex-Long Island Broker Pleads Guilty in $147M Stock Manipulation ScamOne of 16 defendants in the case admits guilt on several counts.