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 Advisor in $1.4 Million Fraud Scheme: Enforcement
By Emily ZulzIn other enforcement actions, LPL faces a FINRA fine and the SEC charges a businessman for stealing from a pension plan.
April 18, 2018
SEC OKs Best-Interest Proposal for BrokersThe proposal will go out for a 90-day comment period; Commissioner Kara Stein dissented.
April 18, 2018
SEC Meets to Vote on Fiduciary ProposalIndustry officials weigh in as the agency prepares to vote on the rules this afternoon.
April 17, 2018
New SEC Ad Promotes Background Checks of Investment ProfessionalsMore than 9 million new users have used Investor.gov since it launched in October 2009.
April 16, 2018
SEC to Release FAQ on Share Class Selection Disclosure Initiative"We have received a number of questions" about the voluntary program, said Stephanie Avakian, co-director of the SEC's enforcement division.
April 13, 2018
Instinet Fined $1.5M by FINRA, NYSE & Others: EnforcementThe SEC announced that courts fined an investment advisor and his companies for defrauding clients.
April 11, 2018
SEC to Take Up Fiduciary Proposal on April 18The agency plans to consider a 'rule to establish a standard of conduct for broker-dealers,' according to a meeting notice.
April 10, 2018
New Stradley Ronon Group to Help Advisors Navigate Fiduciary RulesThe group, staffed with ex-SEC officials, will help advisors and BDs comply with 'multiple and conflicting' fiduciary standards.