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 Wedbush Over Longtime Broker's Pump-and-Dump Scheme
By Melanie WaddellThe SEC charges that Wedbush failed to supervise the broker and ignored multiple signs of her fraud.
March 20, 2018
Former SEC Investment Management Execs Join Stradley RononFormer IM Director David Grim, IM deputy chief counsel Sara Crovitz join Stradley Ronon's investment management practice group.
March 19, 2018
SEC Awards Merrill Whistle-Blowers Record PayoutThree individuals helped agency bring 2016 case, lawyer says; SEC didn't name people involved, citing confidentiality rules.
March 19, 2018
Clayton: SEC Fiduciary Rule on Track Despite DOL Court DefeatAt the SIFMA compliance conference, Jay Clayton told Ken Bentsen that the court ruling on Labor's fiduciary rule "hasn't affected" the SEC's approach to its fiduciary rule-making.
March 16, 2018
SEC Charges Theranos, CEO and Former President With Fraud: EnforcementIn other enforcement actions, an insurance agent is arrested in California in a $1.6 million fraud scheme targeting elderly.
March 15, 2018
SEC Investment Management Heads Talk Form ADV, Custody, Fiduciary RuleThe IM division is exploring whether to issue clarification guidance on a no-action letter on advisor custody it issued last year.
March 15, 2018
SEC Fiduciary Rule Likely to Address Broker, Advisor Titles: Peirce'It's been time for decades' for the SEC to write a fiduciary rule, Republican commissioner Hester Peirce said at the IAA compliance conference.
March 14, 2018
SEC Proposes to Amend Open-End Funds' Liquidity RequirementsUnder the plan, funds would discuss in their annual report the operation and effectiveness of their liquidity risk management program.