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 Plans to Finalize ETF, Fund of Funds Rules in 2019: IM Chief
By Melanie WaddellHere's what the SEC's investment management unit is focusing on this year, according to its director, Dalia Blass.
March 15, 2019
How a Securities Fraud Case Uncovered the College Admissions ScamA Yale alumnus charged in a pump-and-dump scheme told authorities about the biggest university admissions scandal in U.S. history.
March 15, 2019
SEC Halts 'Money Doctor' Radio Host's Ponzi Scheme: EnforcementAlso, Wedbush Securities was fined for failure to supervise a rep who was running a pump-and-dump scheme.
March 14, 2019
SEC Reg BI's Economic Analysis Too Weak, Will Face Legal Challenges: SEC's JacksonIf the analysis "is not up to snuff, you're basically giving the market a call option" to strike down the rule, Jackson said.
March 13, 2019
Trade Groups Urge Maryland Lawmakers to Wait for SEC Reg BIFSI has "serious concerns" about the state fiduciary proposal, President and CEO Dale Brown said.
March 13, 2019
SEC Seeks Input on Advisors' Custody of Digital AssetsIssues have been raised about the regulatory status of advisors' custodial trading practices involving certain assets.
March 11, 2019
Advisors to Return $125M in 12b-1 Fees Under SEC Share Class InitiativeMore than 70 advisors self-reported that they improperly sold clients mutual fund shares with 12b-1 fees.
March 08, 2019
BB&T to Return More Than $5M to Retail Investors and Pay Fine: EnforcementAlso, a broker who was charged with unsuitable and unauthorized trades is fined and barred by the SEC.