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.
Woodbridge Execs Arrested in $1.2B Ponzi Scheme
By Melanie WaddellMany of the 8,400 investors were seniors; the firm's holdings included homes of celebrities.
April 08, 2019
SEC 'Still Struggling' With Advisor Exam RateBut OCIE is "pushing forward on our priorities," exam chief Pete Driscoll says.
April 08, 2019
SEC Chief: Economic Analysis of SEC's Reg BI Will Be 'Robust'The final Reg BI package is "on our agenda to get done before September," Clayton said at SEC Speaks.
April 05, 2019
SEC Shuts Down Fake Advisor Who Targeted California Jews: EnforcementIn another action, the SEC charged a man with defrauding investors in a $3 million Christian concert scheme.
April 03, 2019
SEC Releases Digital Assets FrameworkThe SEC's FinHub sets out the staff's views on determining whether a digital asset is a security.
April 03, 2019
Trump Nominates New SEC CommissionerVeteran securities lawyer Allison Herren Lee would replace former SEC Commissioner Kara Stein, a Democrat.
April 01, 2019
SEC Delays Decision on 2 Bitcoin ETF FilingsThey are the Bitwise and VanEck SolidX Bitcoin ETFs.
March 29, 2019
Ex-SEC Commissioner Gallagher Returns to WilmerDaniel Gallagher, currently chief legal officer at drug maker Mylan, served on SEC for four years during the Obama administration.