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.
Advisor Sentenced to Over 6 Years in Prison: Enforcement
By Emily ZulzAlso, an advisor convicted of burglary and menacing by stalking faces an interim suspension of his CFP mark.
October 05, 2018
SEC Fines LendingClub $4M for Fraud: EnforcementAlso, Credit Suisse will pay $10 million over its handling of retail customer orders.
October 04, 2018
SEC Advice Standards Package Likely by First Half of 2019: GrimGrim, a former SEC IM director, says Reg BI will have a major impact on sales incentives and IRA rollovers.
October 03, 2018
Drinker Biddle Launches Best Interest Compliance TeamMore than 20 lawyers will help advisors and BDs navigate the "stream of rules and regulations."
October 01, 2018
Infomercial Scammers to Pay $4.1M to SECSEC charges 10 individuals and two companies involved in allegedly fraudulent schemes using videos aimed at retirees that promise big returns.
September 28, 2018
SEC Charges Ex-Wells Fargo Broker With Defrauding Seniors: EnforcementAlso, the SEC and CFTC filed charges against a Bitcoin-funded securities dealer and CEO.
September 28, 2018
SEC Approval of a Bitcoin ETF Does Not Depend on Who Worked at GoldmanThe U.S regulatory agency has bigger concerns, and is looking at a range of highly technical issues.
September 27, 2018
SEC Sues Musk, Seeks Ban for Tweets on Go-Private DealSuit sends Tesla shares down 13% in after-hours trading; SEC seeks order that Musk can't serve as officer or director.