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.
Wedbush Hit With $8.1M SEC Fine Over Improper Handling of ADRs
By Melanie WaddellWedbush improperly obtained pre-released ADRs from depositary banks, the SEC said.
June 11, 2019
The Good, Bad and Ugly of SEC's Reg BI and Advice-Standards PackageThe rules have been approved. What now? Raymond James analyst Ed Mills and others weigh in.
June 11, 2019
SEC Releases Updated List of Fake Firms, Bogus RegulatorsThe updated list includes 11 firms, four fake versions of real firms and nine fictitious regulators.
June 06, 2019
Life and Annuity Groups Give SEC's Final Best-Interest Standard Mixed ReviewsThe ACLI and NAIFA are praising Reg BI. AALU has concerns. IRI is reading.
June 05, 2019
Cheers, Jeers for SEC's New Advice-Standards RulesSIFMA said compliance would be difficult but worthwhile; Democratic lawmakers blasted the rules as inadequate.
June 04, 2019
Will Reg BI Be Hammered by Lawsuits?Consumer advocate Barbara Roper thinks the rule "will have a very short shelf life."
June 03, 2019
SEC Names CIA Veteran Zerrusen to Cybersecurity PostKevin Zerrusen has been named to serve as Chairman Jay Clayton's senior advisor for cybersecurity policy.
June 03, 2019
SEC Takes Emergency Action to Halt College Ponzi SchemeThe fraud was conducted by a recent graduate from a fraternity house near the University of Georgia campus, the SEC says.