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.
Ex-UBS Broker Sentenced in Puerto Rico Bond Sales Fraud Scheme: Enforcement
By Emily ZulzThe SEC also charged the COO of an investment advisor for fraudulently causing the firm to overbill clients.
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.
March 19, 2019
SEC Plans to Finalize ETF, Fund of Funds Rules in 2019: IM ChiefHere's what the SEC's investment management unit is focusing on this year, according to its director, Dalia Blass.
March 19, 2019
Ex-SEC Commissioner Piwowar Tapped by Electronic Market MakerPiwowar will provide electronic market maker GTS with legislative and regulatory advice.