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, Massachusetts Settle Charges With ICO Issuer Airfox
By Melanie WaddellThe SEC also settled with another issuer, Paragon, for not registering its ICOs pursuant to the federal securities laws.
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.
November 07, 2018
SEC Releases Investor Testing Report on Form CRSHere's what investors think about the proposed Customer Relationship Summary.
November 05, 2018
If House Flips, SEC Advice Standards Package Likely to Face ScrutinyExpect continued gridlock, "with only a few issues like infrastructure likely to move in 2019," predicts Horizon's Valliere.