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.
Merrill Hit With $15M SEC Penalty Over RMBS Infractions
By Melanie WaddellMerrill misled customers into overpaying for residential mortgage-backed securities, the SEC says.
June 11, 2018
SEC 12b-1 Fee Self-Reporting Deadline Hits TuesdayThe share-class conflicts will remain a priority for examiners over the next year or two, a Drinker Biddle & Reath partner says.
June 08, 2018
DeVere USA Fined for Misleading Clients: EnforcementMeanwhile, the SEC charged a "whale whisperer" with fraud.
June 07, 2018
The Rise of the 'Crypto Czar,' the Fall of a 'Blockchain Evangelist'The cryptocurrency enforcement landscape evolved this past week, including the appointment of a "Crypto Czar" and an enforcement action against a "Blockchain Evangelist."
June 07, 2018
SEC Chief Clayton Wants More Funds for Advisor ExamsSEC chief Clayton tells lawmakers that the agency would use part of its budget request to also help advance the conflict of interest rules.
June 05, 2018
SEC Adopts Fund E-Delivery Rule, Seeks Comment on Updating Fund DisclosuresThe new rule, SEC chief Clayton said, "significantly modernizes delivery options for fund information."
June 04, 2018
SEC Names Cryptocurrency CzarValerie Szczepanik is appointed to a newly created post, senior advisor for Digital Assets and Innovation.
June 04, 2018
Senate Banking Lawyer Nominated as SEC CommissionerElad Roisman, the Banking Committee's chief counsel, has also served as counsel to former SEC Commissioner Dan Gallagher.