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.
Natixis, Citadel Securities, MUFG to Pay SEC More Than $6M for Blue Sheet Data Errors
By Melanie WaddellSEC uses the blue sheet data to carry out its enforcement and regulatory obligations, including investigating fraud.
December 07, 2018
SEC Charges Owner of Trading Website With Binary Options FraudAlso, the SEC charged a CPA, a broker and his wife with fraud involving a shell company.
December 06, 2018
SIFMA Sees Slowing Growth, SEC Best-Interest Rules Coming in 2019The best-interest regs will probably be clarified in the first half of next year, SIFMA says.
December 05, 2018
SEC Custody Rule Up for ReviewCommenters will likely request that the rule be scaled back in certain respects, said attorney Cliff Kirsch.
November 30, 2018
Floyd Mayweather, DJ Khaled Fined by SEC for Unlawfully Touting ICOs: EnforcementMeanwhile, FINRA barred a broker for splitting a client's investments into 42 different mutual funds.
November 28, 2018
SEC, DOL Share Details on Plans for Advice StandardsBoth regulators are expected to finalize rules for conduct standards by September 2019.
November 28, 2018
What's Inside the SEC's Best Execution Risk AlertAdvisors often don't realize that best execution requirements have many facets, all of which are worth a careful review.
November 26, 2018
Regulators Sending 'Mixed Signals' About Crypto Regs: SEC's PeirceThe SEC can also "do a better job at explaining how and why we make decisions and what those decisions mean" to investors, Peirce said.