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.
Waters Says Shutdown Is 'Jeopardizing' Markets, Investors
By Melanie WaddellSEC's skeleton crew is hindering agency's ability to "hold bad actors accountable," Waters said on the House floor.
January 07, 2019
Ex-SEC IM Director: Help Your Clients Avoid a Personal Financial CrisisAdvisors should help clients "get in shape" and reduce debt, former SEC investment management Director Norm Champ tells ThinkAdvisor.
January 04, 2019
Former Wells Fargo Broker Indicted on 128 Felony Counts: Enforcement RoundupAlso, Lightyear Capital agreed to pay a $400,000 fine to the SEC for overcharging fund investors.
December 27, 2018
JPMorgan to Pay $135M for Mishandling ADRsThe improper activities took place from late 2011 to early 2015 and produced $71 million in revenue for the bank.
December 26, 2018
SEC Appoints First Advocate for Small Business Capital FormationMartha Legg Miller to head up SEC's new Office of the Advocate for Small Business Capital Formation in new year.
December 21, 2018
SEC Charges Wealthfront, Hedgeable in Its First Robo ActionsThe regulator charged Wealthfront with making false statements and misleading ads and faulted Hedgeable's performance comparisons.
December 21, 2018
SEC Charges 13 More Unregistered Brokers Who Sold Woodbridge Securities to Investors: EnforcementThe SEC also sued an investment advisor for defrauding clients.
December 20, 2018
SEC's 6 Compliance Exam Priorities for RIAs in 2019The SEC "will maintain its focus on critical market infrastructure and Main Street investors" in the year ahead, says Chairman Clayton.