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's New Crypto Czar Wants Coin Industry to Step Out of Shadows
By Benjamin Bain and Matt RobinsonValerie Szczepanick tries to get firms to talk to regulators; a key challenge is Bitcoin enthusiasts' distrust of government.
July 27, 2018
SEC Charges Funeral Financing Firm in $55 Million Ponzi Scheme: EnforcementMeanwhile, an advisor whose website said he had "NEVER" faced a discliplinary complaint was charged with misleading clients.
July 24, 2018
Fyre Festival Founder Settles Fraud Charges With SECThe founder of the failed music festival will pay more than $27 million in disgorgement.
July 24, 2018
SEC Nominee Roisman Would Keep 'Open Mind' on Best-Interest RuleAt Elad Roisman's nomination hearing, senators questioned him on how a fiduciary standard for brokers should be addressed.
July 23, 2018
'Raise Your Voice' Campaign Pushes for SEC Reg BI Changes"This [Reg BI] is just regulation gone wrong," said Sheryl Garrett, head of Garrett Financial Planning Network.
July 23, 2018
Deutsche Bank Units to Pay $75M to SEC Over ADRsThe units allowed pre-released ADRs to be used for "abusive practices," the SEC said.
July 20, 2018
Senate Dems Call SEC Reg BI 'Confusing,' Prod FINRA for AnswersSens. Warren, Brown and Booker say the rule is unlikely to "give investors the peace of mind they deserve."
July 20, 2018
SEC Charges Advisor Who Stole $3M From Clients: EnforcementIn another enforcement action, a former State Street Corp. exec was convicted of defrauding customers.