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 Wins Fraud Judgment Against Ex-Rep Who Defrauded 3 Retirees
By Jeff BermanThe rep was accused of using client money to pay for a luxury car, a vacation and other expenses.
January 02, 2020
SEC Asset Management Committee to Meet Jan. 14Meanwhile, comments are coming due on FINRA's plan to limit brokers as beneficiaries and pending arb claims.
December 30, 2019
SEC Floats Easing Auditor Independence RulesThe goal is to "modernize" rules concerning affiliates of auditor clients, it says.
December 26, 2019
Secure Act, Fiduciary Rules Set Up a Doozy of a Compliance YearMajor changes are afoot in the rules that govern advice-giving.
December 20, 2019
SEC Charges Advisor Who Hosted Radio Show With FraudKeith Springer of California hid his disciplinary history and the fact that he was paid to recommend certain investments, the SEC said.
December 19, 2019
MetLife Cleans Up SEC Financial Statement ProblemsThe company is paying a $10 million penalty, but it's not admitting the SEC's findings.
December 18, 2019
How Big Firms, Small Firms Are Preparing SEC's Form CRSAt FINRA's Reg BI event, panelists from Wells Fargo and a small broker-dealer compared their approaches.
December 13, 2019
The SEC's Whistleblower Bounty Program Needs ReformThe agency expends resources responding to thousands of tips that ultimately have no merit.