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.
Does Any Token Exist That Is Not a Security?
By Nicolas MorganThe SEC hasn't yet declared that a specific token is not a security. The courts may beat it to the punch.
May 10, 2018
DOL Fiduciary Rule Still Effective Until Court Issues Mandate: LawyerThe 5th Circuit has yet to issue an order to vacate the rule, as it was expected to do on Monday.
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.