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.
Texas Businessman Used Investor Funds to Pay for Russian Bride Dating Site: Enforcement
By Emily ZulzIn other enforcement actions, the SEC charged a former Equifax manager with insider trading.
June 26, 2018
Morgan Stanley Names Former SEC Chair Shapiro to BoardThe former regulator is also on the boards of CVS, London Stock Exchange and GM.
June 25, 2018
SEC Releases Another Updated FAQ on Custody RuleCipperman urges SEC to stop issuing custody rule FAQs and rewrite the rule instead.
June 25, 2018
Wells Fargo Agrees to $5M SEC SettlementThe regulatory group says the misconduct was tied to sales of market-linked investments, or MLIs, from 2009 to 2013.
June 22, 2018
FINRA Bars Ex-LPL Rep for Taking Client Money to Pay Her Taxes: EnforcementIn other enforcement actions, the CFTC ordered JPMorgan Chase Bank to pay a $65 million penalty.
June 21, 2018
SEC's Clayton: Comment Period on Advice Standards May Be ExtendedHouse lawmakers questioned Clayton about the SEC's proposed best-interest rules.
June 21, 2018
Wait for ETF Rule Is Over as SEC Slates Discussion for June 28The rule would let asset managers sell certain ETFs without first getting SEC approval under the Investment Company Act of 1940.
June 21, 2018
Winning the Talent Wars Key Among SEC's GoalsThe SEC is seeking to shore up its performance with new hires.