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 Fines Advisory Firm for Failing to Give Promised Fee Discounts
By Melanie WaddellBy not giving fee-breakpoints, Retirement Capital Strategies "improperly calculated advisory fees and thereby overcharged certain clients," the SEC said.
November 16, 2018
SEC Charges Operators of Boiler Room Scheme Targeting Seniors: EnforcementIn other actions, the wife of "Hamilton" ticket ponzi schemer ordered to pay back money.
November 15, 2018
SEC Whistleblower Office Sees Jump in Tips in 2018In its 40-page annual report to Congress, the agency's whistleblower office said that it paid awards totaling $168 million to 13 individuals in FY 2018.
November 14, 2018
SEC Ruling Against Southridge CCO Could Have Chilling EffectThe SEC upheld sanctions levied by the Financial Industry Regulatory Authority against a chief compliance officer.
November 14, 2018
SEC's EtherDelta Decision Could Be Fodder for Court ActionsThe SEC's Nov. 8 ruling could prompt "a well-funded party" to ultimately challenge the SEC.
November 11, 2018
SEC Sets Review of Company Rules for Shareholder InputThe SEC has set a time and date for a review of corporate democracy rules that promises to stir up trouble with investors who fear losing the influence…
November 09, 2018
SEC Charges Advisor With Scamming Elderly Out of Millions: EnforcementIn another SEC action, Citibank N.A. agreed to pay $38.7 million to settle charges of improper handling of 'pre-released' ADRs.
November 08, 2018
SEC Settles With EtherDelta for Operating Unregistered ExchangeThis is the SEC's first of this type of enforcement action against a digital token trading platform.