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.
Ex-Rep for Morgan Stanley, Wells Fargo Sentenced to 30 Months for Fraud
By Jeff BermanThe former broker had pleaded guilty to swindling clients out of more than $1.6 million.
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.
January 27, 2020
SEC Releases Cybersecurity, Data Loss Best PracticesThe report presents observations from exams; mobile security is a big focus.
January 24, 2020
Human Capital: ACA's Di Florio on How Tech Is Crucial Tool in Regulators' ArsenalIn episode #7 of our Human Capital podcast, ThinkAdvisor talks with Carlo di Florio, global chief services officer for ACA Compliance Group.