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.
FINRA Expands Wells Notice Against Ex-Morgan Stanley Advisor Ami Forte: Enforcement
By Emily ZulzAlso, a former State Street Corp. executive was sentenced to prison for defrauding customers.
October 25, 2018
Insiders Go Deep on Midterm PredictionsBeyond the debate of what party takes what chamber, the midterms could mean more oversight on the SEC.
October 24, 2018
'Frack Master' to Serve 12 Years in Prison, Pay $23M to SECChristopher Faulkner took $23 million from investors to pay for gentlemen's clubs, escorts and other expenses, the SEC says.
October 22, 2018
SEC Halts Trading in Nevada Firm Over False Crypto ClaimsThe company said it had partnered with an SEC-qualified custodian and that transactions would be done under SEC regulations.
October 19, 2018
2 Common Email Spoofing Scams to Avoid: SECThe SEC made an example of nine firms that lost a total of $100 million to email fraudsters.
October 19, 2018
'Myth-Busting' Ex-Advisor Convicted of Fraud, Spent Investor Funds on Hindu Prayers: EnforcementAlso, FINRA barred a broker for recommending a charitable gift annuity that had hefty commissions.
October 18, 2018
SEC Launches FinHub PortalThe new fintech hub provides one-stop information on digital marketplaces, automated investment, blockchain and AI.
October 17, 2018
SEC Charges Advisor With Stealing From Friends, Community MembersThe advisor had previous SEC charges against him; the agency encourages investors to check its SALI database.