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 Investment Advisor and CEO With Misleading Investors
By Emily ZulzThe firm and its CEO steered advisory clients and other investors into risky investments while pocketing hefty commissions, the SEC said.
July 11, 2018
House Panel Passes Bill to Help Ease SEC Rules on Small FirmsThe Panel also passed a bill requiring SEC to set up a senior investor task force.
July 10, 2018
Some Commenters Tell the SEC They Still See Annuity ProblemsYou may think there's already enough oversight. Some consumers, and some financial professionals, disagree.
July 10, 2018
Supreme Court Nominee Helped Kill Merrill Lynch RuleIn 2007, Brett Kavanaugh agreed with the FPA in its fight against the SEC.
July 10, 2018
Schwab to Pay SEC $2.8M for Failing to File SARsThe SEC is using a "novel legal theory" to get big brokers and custodians to police their platform users, Cipperman says.
July 05, 2018
SEC Charges Firm That Failed to Supervise Brokers: EnforcementIn another SEC action, two men were charged with illegal sales of stock of a company claiming to have a blockchain-related business.
July 03, 2018
Blockchain's Latest Twist: Digitizing Company SharesA hedge fund turns paper shares in a cloud storage company into digital tokens.
July 03, 2018
Schwab Settles SEC Suit on Reporting FailureSchwab was charged with failing to file reports on suspicious transactions by 37 independent investment advisors.