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 Advisor Fraud Charge Shows Hazards of 'Dual-Hat' CCOs
By Melanie WaddellThe dual-hat CCO "usually does not have the time, expertise or interest to do the job properly," according to Cipperman Compliance Services.
May 23, 2019
DOL Fiduciary Rule Release Set for DecemberAn earlier release is possible given the SEC's expected timeline on Regulation Best Interest.
May 22, 2019
'Don't Hold Your Breath' Waiting on a Bitcoin ETF: SEC's PeirceThe SEC commissioner who would like to see approval for a Bitcoin ETF says the agency still has many questions.
May 21, 2019
SEC Halts Diamond-Related Crypto SchemeThe Ponzi scheme targeted more than 300 investors in the U.S. and Canada.
May 16, 2019
SEC Prevails in High-Yield Securities CaseThe case against a New York brokerage centered on misleading investors on the value of high-yield securities.
May 15, 2019
SEC Delays Decision on Bitwise Bitcoin ETF AgainThe SEC is again seeking comment on the proposal, this time in answers to 14 questions.
May 10, 2019
SEC Settles 'Unfriendly' Insider Trading Case: EnforcementAlso, Secretary Galvin charges broker-dealer over improper mutual fund sales.
May 07, 2019
Former SEC Commissioner Stein Joins Investors Exchange BoardStein said she looks forward to helping IEX, the trading platform operator featured in Michael Lewis's book "Flash Boys," continue to improve market transparency for both public companies and investors."