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 Sues Musk, Seeks Ban for Tweets on Go-Private Deal
By Matt Robinson and Benjamin BainSuit sends Tesla shares down 13% in after-hours trading; SEC seeks order that Musk can't serve as officer or director.
September 26, 2018
No Time Frame Yet for Final SEC Best-Interest RuleThe SEC is reviewing more than 6,000 comments on the plan, IM director Dalia Blass told lawmakers.
September 19, 2018
SEC Halts $345M Ponzi-Like Scheme That Bilked Pro Athletes, AdvisorsThe scheme involved consumer debt portfolios, the SEC said.
September 19, 2018
SEC Plans Retail Investor Fraud RoundtableThe discussion will focus on steps that can be taken to enhance ability of regulators and BDs to combat retail investor fraud.
September 18, 2018
SEC's New Form N-CEN Filing Deadline Kicks in for Some FundsThe SEC also announced on Sept. 11 XML schema changes for N-PORT and N-CEN that take effect Oct. 1.
September 18, 2018
SEC Reopens Advisor Proxy Voting DebateThe agency withdrew two no-action letters allowing advisors to use third-party voting services.
September 17, 2018
Group Blasts SEC's Proposed Whistleblower ChangesThe National Whistleblower Center says the changes are "radically anti-whistleblower" and mirror U.S. Chamber of Commerce's views.