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 Charges 13 More Unregistered Brokers Who Sold Woodbridge Securities to Investors: Enforcement
By Emily ZulzThe SEC also sued an investment advisor for defrauding clients.
December 19, 2018
SEC Seeks Comments on Fund-of-Funds ChangesThe new rule would allow many fund-of-fund mutual funds and ETFs to go forward without exemptive relief from the commission.
December 18, 2018
SEC Seeks Comments on Earnings, Quarterly Report ChangesShould companies be allowed to report earnings less frequently?
December 17, 2018
SEC Hits BNY Mellon for $54M Over Improper ADR HandlingBNY Mellon improperly provided ADRs to brokers in thousands of prerelease transactions, the SEC says.
December 17, 2018
SEC Warns RIAs to Review Electronic Communication PoliciesAn OCIE Risk Alert zeros in on advisor infractions of the Books and Records and Compliance Rules.
December 13, 2018
Executives to Pay $2.7M to Settle ICO Scam Charges: EnforcementThe SEC also charged an advisor and his daughter with running a Ponzi scheme.
December 13, 2018
SEC Looks Deeper at Advisors' Share-Class Use, Revenue SharingThe SEC is targeting advisors who didn't make voluntary 12b-1 fee disclosures "but perhaps should have," attorneys say.
December 11, 2018
SEC May Use Same Words to Describe Broker, Advisor Standard: ClaytonClayton sparred with Sen. Elizabeth Warren Tuesday about the agency's advice-standards package during an SEC oversight hearing.