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.
Congressman to SEC on ICO Market: 'Shut It All Down'
By Melanie WaddellIn a hearing, lawmakers hammered the SEC on ICO oversight and agency officials blasted a recent Supreme Court decision on disgorgement.
May 09, 2018
SEC Charges Texas-Based Muni Advisor With Defrauding School DistrictThe municipal advisor overstated its municipal finance experience and failed to disclose conflicts of interest.
May 08, 2018
Does Piwowar's Departure Throw a Wrench Into SEC's Broker Conduct Plan?The commissioner's departure comes as Kara Stein is also slated to step down.
May 04, 2018
Timber! SEC Chops Down $85M Ponzi Scheme: EnforcementThe SEC also charged a lawyer in microcap fraud schemes.
May 02, 2018
Gotcha! SEC Searchable Database Flags Enforcement RecordsSALI helps identify registered and unregistered individuals who have been parties to past SEC enforcement actions and against whom federal courts have entered judgments.
May 01, 2018
SEC Releases FAQ on 12b-1 Fee InitiativeThe FAQ provides more information about advisor eligibility, disgorgement and distribution of funds to clients.
April 30, 2018
SEC IM Chief Offers Clarity on Broker Conduct StandardsIM director Blass answers questions on the proposed 'Relationship Summary' and Regulation Best Interest for brokers.
April 30, 2018
A Close-Up View of the SEC's 'Fiduciary' ProposalThe latest update and details on the SEC fiduciary proposal and Best-Interest plan