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.
Bitwise Files for Bitcoin ETF With the SEC
By Bernice NapachThe firm says the filing addresses the agency's key concerns about custody and Bitcoin prices.
January 07, 2019
Rep. McHenry Probes Agencies' IGs for Cost Cutting MeasuresThe new ranking member on the House Financial Services Committee wants SEC, Treasury, CFPB to tell him by Jan. 24 how the agencies plan to reduce waste, fraud and abuse.
January 07, 2019
Ex-SEC IM Director: Help Your Clients Avoid a Personal Financial CrisisAdvisors should help clients "get in shape" and reduce debt, former SEC investment management Director Norm Champ tells ThinkAdvisor.
January 04, 2019
Former Wells Fargo Broker Indicted on 128 Felony Counts: Enforcement RoundupAlso, Lightyear Capital agreed to pay a $400,000 fine to the SEC for overcharging fund investors.
December 27, 2018
JPMorgan to Pay $135M for Mishandling ADRsThe improper activities took place from late 2011 to early 2015 and produced $71 million in revenue for the bank.
December 26, 2018
SEC Appoints First Advocate for Small Business Capital FormationMartha Legg Miller to head up SEC's new Office of the Advocate for Small Business Capital Formation in new year.
December 21, 2018
SEC Charges Wealthfront, Hedgeable in Its First Robo ActionsThe regulator charged Wealthfront with making false statements and misleading ads and faulted Hedgeable's performance comparisons.
December 21, 2018
SEC Charges 13 More Unregistered Brokers Who Sold Woodbridge Securities to Investors: EnforcementThe SEC also sued an investment advisor for defrauding clients.