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 Delays Decision on 2 Bitcoin ETF Filings
By Bernice NapachThey are the Bitwise and VanEck SolidX Bitcoin ETFs.
March 28, 2019
SEC Charges Ex-College Controller With Municipal Securities Fraud"Financial difficulties are no excuse for engaging in accounting misconduct and concealing critical information from investors," said the SEC's LeeAnn Ghazil Gaunt.
March 27, 2019
Supreme Court Buttresses SEC's Power, Rules Against BankerFrancis V. Lorenzo, who worked at Charles Vista LLC, could be held liable for taking part in a scheme to defraud investors even if he didn't write two deceptive emails at the center of the case.
March 26, 2019
Roundup: SEC 12b-1 Settlements, Wells in Hot Seat, and Treasury Regs HousecleaningThe SEC's share class initiative is showing results, while Rep. Waters says Wells Fargo is 'too big to manage' and Treasury axes tax regs.
March 26, 2019
Reg BI Readiness Questioned on All Fronts: SEC Commissioners, Trade Groups, LegislatorsAs new BD regulations get aired out, two points emerge: Reg BI is "fixable" and states need to see how it works before making own laws.
March 22, 2019
95% of Spot Bitcoin Trading Volume Is Fake: ReportBitwise Asset Management, which has filed for a Bitcoin ETF, analyzed data from 81 crypto exchanges.
March 22, 2019
SEC Charges Fraudsters-Turned-Pastors in Ponzi Scheme: EnforcementIn another action, the SEC charged a former CPA and unregistered advisor with running a decades-long scam.
March 19, 2019
House Panel to Debate Bill to Require Investor Testing by SECThe bill would require usability testing on the SEC's new disclosure forms before Reg BI is finalized.