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 Ex-UBS Broker With Bilking 15 Clients: Enforcement
By Emily ZulzThe broker knew much of the money was earmarked for clients' retirement and college expenses, the SEC said.
August 07, 2018
What 8 Industry Leaders Think of SEC's Advice StandardsHere's what Michael Kitces, Barbara Roper, Ken Fisher and others commented to the SEC about the proposal.
August 07, 2018
These Regulators and Firms Are Bogus, SEC WarnsAgency alert details long lists of fake regulators, unregistered firms claiming to be registered, and firms impersonating legitimate ones.
August 06, 2018
Life Group Hopes SEC Will Bless Non-Cash CompThe ACLI is speaking up for plaques, training and marketing support.
August 03, 2018
Worried About Broker Conflicts? The SEC Isn'tThe SEC's proposed conflict-of-interest rules don't give investors the protection they need.
August 03, 2018
SEC Charges Ex-Rep With Using Investor Funds for Private Jets, Plastic Surgery: EnforcementMeanwhile, the SEC fined a scientist for insider trading.
August 02, 2018
SEC Reg BI Stricter Than Fiduciary, Will Cause Brokers to Flee: PeirceThe push for fiduciary standards for all "will have the perverse effect of harming investors," Commissioner Hester Peirce says.
August 02, 2018
SEC's New Crypto Czar Wants Coin Industry to Step Out of ShadowsValerie Szczepanick tries to get firms to talk to regulators; a key challenge is Bitcoin enthusiasts' distrust of government.