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.
Court Ruling Extending SEC's Fraud Reach May Push More ICOs Offshore
By Nicolas MorganIf most of the buyers of a security are located outside the U.S., do federal securities laws apply?
January 28, 2019
Court Approves $1 Billion Settlement in Woodbridge Ponzi SchemeThe SEC said the scheme defrauded 8,400 retail investors nationwide, many of them seniors.
January 28, 2019
SEC Back to Work, but Expect Slow Response TimesExams, including those that were in progress when funding lapsed, are resuming.
January 24, 2019
Warren Presses Regulators on Shutdown ImpactMeanwhile, a hearing on the state of the IRS was canceled as Treasury Secretary Mnuchin refused to testify.
January 24, 2019
DOL, SEC Fiduciary-Related Rules to Be a 'Heavy Lift': Attorney ChoiRichard Choi and IRI hope the SEC's VA summary prospectus will be adopted later this year.
January 23, 2019
No-Losses Hedge Fund Got Sued by SEC, Then Shutdown HitAgency alleged Statim's Joseph Meyer lied about performance; SEC case against him has been stalled by government's closure.
January 18, 2019
Waters, McHenry Introduce Bill to Curb Insider TradingThe bill requires the SEC to ensure corporate insiders are unable to indirectly engage in illegal insider trading through changes to trading plans.
January 15, 2019
SEC Charges 9 in Edgar HackThe SEC alleges that after hacking newswire services, Ukrainian hacker Oleksandr Ieremenko turned his attention to Edgar.